RICHARD ALBERT KOOB is currently employed as a Broker and/or Investment Adviser at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at N14W23833 Stone Ridge Dr, SUITE 400, WAUKESHA, WI, 53188.
RICHARD ALBERT KOOB has worked at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC since May 03, 1973
Disclosure History
RICHARD ALBERT KOOB has 2 Disclosure Event(s).
Date: February 01, 2010 Category: Regulatory Initiated By: WISCONSIN OFFICE OF THE COMMISSIONER OF INSURANCE Allegations: WISCONSIN INSURANCE COMMISSIONER FOUND THAT REPRESENTATIVE FAILED TO DISCLOSE A PRIOR ADMINISTRATIVE ACTION ON HIS APPLICATION FOR A WISCONSIN PERMANENT INDIVIDUAL INTERMEDIARY AGENT'S INSURANCE LICENSE. Resolution: Order SanctionDetails: Sanctions: Denial Broker Comment: WISCONSIN INSURANCE COMMISSIONER DENIED REPRESENTATIVE'S INSURANCE LICENSE FOR 31 DAYS; HIS LICENSE WAS APPROVED ON MARCH 4, 2010.
Date: June 13, 2008 Category: Regulatory Initiated By: WISCONSIN DIVISION OF SECURITIES Allegations: DELINQUENT FOR WI STATE TAXES Resolution: Other SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: WISCONSIN DEPT OF REVENUE CERTIFIED KOOB AS DELINQUENT FOR STATE TAXES. STATUTE REQUIRES REVOCATION AFTER 30 DAYS NOTICE. NOTICE ISSUED 5/14/08. KOOB FAILED TO RESOLVE HIS DELINQUENCY BY THE DUE DATE OF 6/13/08. Broker Comment: THIS IS NOT A DISCIPLINARY EVENT FOR VIOLATIONS OF ANY SECURITIES LAW. AGENT MAY REAPPLY AFTER RESOLUTION OF TAX DELINQUENCY. CLEARANCE CERTIFICATE RECD 6/17/08. OK TO REAPPLY.
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