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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Brian Huston | 4299932 | 1 | 06/12/2024 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Richard Randal Haupt | 4212929 | 1 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Carine Fischer Smith | 4833492 | 1 | 12/05/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Clint Jenkins | 4892762 | 1 | 12/05/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith David Gaffney | 2733398 | 2 | 11/14/2023 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |
| 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 |
| Andreja Dugacki | 6741152 | 1 | 04/28/2022 | Customer Dispute | Denied | $80,000.00 | $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 |