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 |
|---|---|---|---|---|---|---|---|---|
| Robin Frederick Oles | 5793998 | 1 | 03/03/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Saul Renteria | 6403371 | 1 | 02/13/2022 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Michael James Lanigan | 1237743 | 1 | 01/28/2022 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| George Michael Kontos | 7147967 | 1 | 01/20/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Carlos Joshua Arteaga | 6233790 | 1 | 01/03/2022 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Amy Julia Wong-Pawa | 5598905 | 1 | 12/27/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin James Callaghan | 4798220 | 2 | 08/31/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Lisa Michelle Miranda | 5093619 | 1 | 08/28/2021 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| James Joseph Fago | 1564659 | 1 | 08/12/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Trevor Lee Gilman | 6500167 | 2 | 07/21/2021 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |