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 |
|---|---|---|---|---|---|---|---|---|
| Nicki Lee Beatty | 7023718 | 1 | 06/23/2022 | Customer Dispute | Closed-No Action | $164,820.00 | $0.00 | See FINRA Report |
| David Alan Richard Toms | 6174150 | 1 | 06/13/2022 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Stephen William Marcou | 5087224 | 1 | 05/18/2022 | Customer Dispute | Closed-No Action | $48,324.90 | $0.00 | See FINRA Report |
| William Gerald Nelkin | 3204612 | 1 | 04/13/2022 | Customer Dispute | Closed-No Action | $16,473.00 | $0.00 | See FINRA Report |
| Robin Frederick Oles | 5793998 | 1 | 03/03/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Saul Renteria | 6403371 | 1 | 02/13/2022 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Michael James Lanigan | 1237743 | 1 | 01/28/2022 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Carlos Joshua Arteaga | 6233790 | 1 | 01/03/2022 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Amy Julia Wong-Pawa | 5598905 | 1 | 12/27/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lisa Michelle Miranda | 5093619 | 1 | 08/28/2021 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |