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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Trevor Lee Gilman | 6500167 | 2 | 07/21/2021 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Angel Solis | 5247807 | 1 | 07/17/2021 | Customer Dispute | Closed-No Action | $6,332.00 | $0.00 | See FINRA Report |
| David Alan Ratzker | 6680532 | 1 | 05/06/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lutelles Lindley White | 6087303 | 1 | 04/03/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher John Tolman | 6232462 | 1 | 03/24/2020 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Dipenta | 5132773 | 1 | 03/23/2020 | Customer Dispute | Closed-No Action | $10,490.90 | $0.00 | See FINRA Report |
| Scott D Mickey | 4286135 | 1 | 01/14/2019 | Customer Dispute | Closed-No Action | $125,000.00 | $0.00 | See FINRA Report |
| Matthew James Toepfer | 5765529 | 1 | 12/06/2018 | Customer Dispute | Closed-No Action | $24,000.00 | $0.00 | See FINRA Report |