Israels & Neuman, PLC Investigates Scott Niekamp, of Northwestern Mutual

CHESTERFIELD, MISSOURI –  Have you lost money with financial advisor Scott Niekamp, of Northwestern Mutual in Chesterfield, Missouri?  We are looking into allegations made against Scott Niekamp, who has been the subject of four (4) customer complaints, all made since 2018.  Some of the complaints allege that Niekamp solicited investors to invest in a private equity security and failed to disclose material facts, including that Niekamp was also a shareholder.

Scott Niekamp has been a registered representative of Northwestern Mutual from 2000 to the present.  He has worked at branch offices in Chesterfield, Missouri.  Niekamp was also suspended by FINRA for three months in 2021.

Brokerage firms like Northwestern Mutual have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Missouri.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View BrokerCheck:  Niekamp, S. BrokerCheck 6.22.21

If you lost money with Scott Niekamp or Northwestern Mutual, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.