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 |
|---|---|---|---|---|---|---|---|---|
| Shannon Bruce Thomas | 6629536 | 1 | 10/02/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeremiah Lanny Johnson | 6277803 | 1 | 06/29/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Wade Johnson | 5981609 | 1 | 06/18/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Juan Carlos Cardona | 7590156 | 1 | 12/22/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jarrod Jon Traver | 7407434 | 1 | 06/24/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sharise Monee Messiah | 7871984 | 1 | 09/27/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adelso de Jesus Taveras | 6723662 | 1 | 06/12/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Maulik Rajesh Mankad | 7316403 | 1 | 02/14/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Morgan Kay Nations | 6650062 | 1 | 09/20/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francisco Jose Vargas-MacHuca | 6173414 | 6 | 09/07/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |