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Broker Misconduct Investigation: Ralph Stockemer (Northwestern Mutual Investment Services)

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Updated on: August 20, 2024

National investment loss lawyers KlaymanToskes is investigating broker Ralph Stockemer of Northwestern Mutual Investment Services (CRD #1844056).

According to FINRA BrokerCheck, broker Ralph Stockemer of Northwestern Mutual Investment Services is currently facing allegations of aiding and abetting the misappropriation of funds by the account owner’s son and grandson, with the customers seeking $1,000,000 in damages.

Investors that suffered losses with broker Ralph Stockemer are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.

Investment Losses with Broker Ralph Stockemer?

Investment Losses with Broker Ralph Stockemer?

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Broker Ralph Stockemer Faces Investor Dispute

Ralph Stockemer, a broker with Northwestern Mutual Investment Services, is involved in an investor dispute. The complaint involves co-trustees of a family trust. The complaint alleges that the account owner’s son and grandson took money improperly, with the co-trustees alleging that the son and grandson influenced the account owner to move money into and out of an investment account for their own benefit.  The co-trustees also allege that Ralph Stockemer, who is not related to the account owner or her family, helped the son and grandson in their actions. 

Signs Investors Should Look Out For About Their Brokerage Accounts

As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Ralph Stockemer. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:

  • You have substantial losses in your investment accounts
  • You received a call, email, or other communication from your broker’s supervisor or manager regarding your portfolio
  • Your broker misrepresented investment opportunities, or failed to disclose details about investments
  • You notice unauthorized transactions in your investment accounts
  • Your broker is not returning your calls or emails
  • You filed a complaint with your brokerage firm that has not been resolved
  • You see a mistake on your statement, or receive a fraudulent statement

Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.

Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.

If you suffered losses with broker Ralph Stockemer, or have concerns regarding your investment portfolio at Northwestern Mutual Investment Services, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.