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 |
|---|---|---|---|---|---|---|---|---|
| Jarrod Glenn Fowler | 2801490 | 2 | 08/25/2005 | Customer Dispute | Denied | $7,134.00 | $0.00 | See FINRA Report |
| Roger William Judy | 2572607 | 1 | 05/11/2005 | Customer Dispute | Settled | $154,000.00 | $0.00 | See FINRA Report |
| Peter Louis Mureddu | 2254790 | 1 | 01/12/2005 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Brian Dewayne Lewis | 2127827 | 2 | 06/24/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Robert Wiper | 2295295 | 3 | 12/14/2003 | Customer Dispute | Denied | $9,595.00 | $0.00 | See FINRA Report |
| John Lance Bogert | 2639485 | 2 | 10/01/2003 | Customer Dispute | Settled | $70,500.00 | $0.00 | See FINRA Report |
| Peter Thomas Berkery | 2666822 | 2 | 08/25/2003 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |
| Stephen Robert Wiper | 2295295 | 3 | 05/12/2003 | Customer Dispute | Denied | $9,363.00 | $0.00 | See FINRA Report |
| Susan Ellen Plunkett | 2822254 | 2 | 06/05/2002 | Customer Dispute | Settled | $8,517.74 | $0.00 | See FINRA Report |
| Brian Dewayne Lewis | 2127827 | 2 | 10/05/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |