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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin William Rath | 7654325 | 1 | 11/17/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Montillano Salunga | 5627351 | 2 | 09/21/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joyce Clothilde Alegeh | 7585388 | 1 | 09/03/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin Ojay Smith | 7698200 | 1 | 08/18/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Anson Nichols | 7164864 | 1 | 12/30/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jessica Lynne Cuevas | 5591975 | 1 | 04/29/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peyton Elizabeth Juarez | 7622788 | 1 | 01/19/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Torin Lu'Shane Wallace | 6428854 | 1 | 01/18/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chris Anthony Rogers | 6652814 | 1 | 04/03/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arrington Patrick Lee | 7526830 | 1 | 11/05/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |