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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Lynch | 4612624 | 1 | 04/20/2017 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |
| Bobby Lee Slate | 3043107 | 2 | 12/15/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John William Vandersloot | 4142712 | 1 | 10/10/2013 | Customer Dispute | Closed-No Action | $5,222.52 | $0.00 | See FINRA Report |
| Stephen Robert Wiper | 2295295 | 3 | 04/06/2009 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |