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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Nigro | 5926434 | 1 | 02/23/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Espinal | 4400401 | 1 | 11/28/2017 | Customer Dispute | Denied | $7,000.00 | $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 |
| Jonathan Randall Miller | 5050236 | 2 | 05/05/2017 | Customer Dispute | Denied | $13,712.00 | $0.00 | See FINRA Report |
| Joseph Lynch | 4612624 | 1 | 04/20/2017 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |
| Robert Wallace Stauder | 1609048 | 1 | 12/01/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Ryan Dennis | 4972342 | 2 | 09/07/2016 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Stephen James Genkinger | 2879323 | 1 | 05/12/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |