Our Staff has compiled our research into a database of FINRA Broker Disclosures for Tiaa-Cref Individual & Institutional Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Lori R Oakeson | 3255365 | 6 | 09/04/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lori R Oakeson | 3255365 | 6 | 08/13/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Margaret Frank | 4313035 | 6 | 08/12/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn Marie Grzyb | 4124662 | 5 | 08/09/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leslie Margaret Frank | 4313035 | 6 | 08/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leon Devonta Johnson | 7730075 | 1 | 07/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Erin Lyn Alves | 6067639 | 4 | 07/25/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Leslie Margaret Frank | 4313035 | 6 | 07/11/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Brian Huston | 4299932 | 1 | 06/12/2024 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Gregory Woolard French | 2736744 | 1 | 06/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |