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 |
|---|---|---|---|---|---|---|---|---|
| David Alan Ratzker | 6680532 | 1 | 05/06/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alicia Kay Huburn | 6772091 | 1 | 05/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan Alexander Smith | 5464593 | 1 | 04/27/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lutelles L White | 6087303 | 1 | 04/03/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark A Alford | 6003335 | 1 | 03/24/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher John Tolman | 6232462 | 1 | 03/24/2020 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Dipenta | 5132773 | 1 | 03/23/2020 | Customer Dispute | Closed-No Action | $10,490.90 | $0.00 | See FINRA Report |
| Antoinette Marshall Lucas | 4314461 | 1 | 03/11/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas Mark Wasielewski | 2904941 | 1 | 03/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Pedrero | 2992898 | 1 | 07/09/2019 | Customer Dispute | Settled | $142,866.00 | $0.00 | See FINRA Report |