onnell Noah Bowen CRD#: 5641822 has been barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. FINRA barred Bowen, formerly a representative with Northwestern Mutual in Washington D.C., for failing to provide requested information and for failing to appear at FINRA hearing.
Bowen was permitted to resign from Northwestern Mutual in January of 2017 while under internal investigation for allegations of forgery of client signatures on non-variable insurance documents. FINRA was also investigating this matter.
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, Donnell Noah Bowen has 17 Disclosures, with 13 of those Disclosures, “Customer Disputes.” In one Customer Dispute dated 6/5/17, the allegations were, “The Client alleged forgery on a variable annuity distribution form and life insurance documents that resulted in transactions without her knowledge or consent.” In the report the requested damages were listed as $5,000, and the actual settlement amount was $470,679.93.
From a Customer Dispute listed on 11/28/17, the allegations of the dispute were, ” The customer alleged the representative made unauthorized changes to his non-variable life insurance policies and forged the customer’s signature on forms.” The requested damages were, $46,808.90, and the actual settlement amount was $290,635.40.
Donnell Noah Bowen was registered in the securities industry for 7 years and was listed only with:
04/02/2009 – 02/01/2017 NORWESTERN MUTUAL INVESTMENT SERVICES LLC – WASHINGTON, DC
If you experienced losses due to the actions or recommendations of the former NORWESTERN MUTUAL INVESTMENT SERVICES LLC of WASHINGTON, DC, broker Donnell Noah Bowen, call Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA on a contingency fee basis.