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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| Timothy Montillano Salunga | 5627351 | 2 | 06/10/2019 | Customer Dispute | Settled | $96,000.00 | $0.00 | See FINRA Report |
| Brady Edward Nance | 4326691 | 1 | 03/12/2019 | Customer Dispute | Settled | $46,800.00 | $0.00 | See FINRA Report |
| Scott D Mickey | 4286135 | 1 | 01/14/2019 | Customer Dispute | Closed-No Action | $125,000.00 | $0.00 | See FINRA Report |
| Eric Nolan Tharp | 6059458 | 1 | 01/11/2019 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Matthew James Toepfer | 5765529 | 1 | 12/06/2018 | Customer Dispute | Closed-No Action | $24,000.00 | $0.00 | See FINRA Report |
| Tonya Marie McKinney | 6257339 | 2 | 11/20/2018 | Customer Dispute | Denied | $215,278.00 | $0.00 | See FINRA Report |