Andrew LaForce: $138K Complaint Against Northwestern Advisor

Fort Myers, Florida financial advisor Andrew LaForce (CRD# 5785709) recently received an investor complaint alleging that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Northwestern Mutual Investment Services.

Mr. LaForce’s BrokerCheck report discloses one investor complaint. Filed in June 2024, it alleges that as a representative of Northwestern Mutual Investment Services, he made unauthorized revisions to a customer’s total net worth on a fixed annuity application. The pending complaint alleges damages of $138,646.76.

Northwestern Mutual Investment Services’s website includes a page in which Mr. LaForce describes his mission and services. “We understand what is important to a client personally, professionally, and financially,” he writes. “Our team strives to give our clients a fun, and confidential enviroment [sic] in which trust can be built. We then help them make educated decisions on how to best achieve the goals that are more important to them not only now, but also in the future.”

According to the Financial Industry Regulatory Authority, Andrew LaForce holds 13 years of securities industry experience. Based in Fort Myers, Florida, he has been registered as a broker since 2010 and an investment advisor with Northwestern Mutual Investment Services since 2013. His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Arizona, Arkansas, California, Florida, Illinois, Indiana, Massachusetts, Michigan, Missouri, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, and Wisconsin. (Information current as of August 4, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.