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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Anthony Nigro | 5926434 | 1 | 02/23/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gwen Borowicz Dadoly | 1599350 | 1 | 08/29/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan Randall Miller | 5050236 | 2 | 06/27/2017 | Customer Dispute | Settled | $14,137.00 | $0.00 | See FINRA Report |
| Thomas Lawrence Reid | 6084158 | 1 | 05/16/2017 | Customer Dispute | Settled | $5,163.67 | $0.00 | See FINRA Report |