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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Ryan Dennis | 4972342 | 2 | 10/16/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lisa McGrath | 2185761 | 1 | 08/18/2015 | Customer Dispute | Final | $162,697.00 | $0.00 | See FINRA Report |
| Paul Douglas Rogers | 4732779 | 3 | 03/13/2015 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Keith David Gaffney | 2733398 | 1 | 02/25/2015 | Customer Dispute | Settled | $26,600.00 | $0.00 | See FINRA Report |
| Ryan Joseph Thauvette | 5085717 | 1 | 08/26/2014 | Customer Dispute | Settled | $5,280.00 | $0.00 | See FINRA Report |
| Patrick St Peter Beckford | 3126327 | 1 | 01/10/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John William Vandersloot | 4142712 | 1 | 10/10/2013 | Customer Dispute | Closed-No Action | $5,222.52 | $0.00 | See FINRA Report |
| Christopher Jason Farmer | 4600275 | 2 | 08/12/2013 | Customer Dispute | Denied | $9,427.40 | $0.00 | See FINRA Report |
| Niall Robert Lepper | 5319535 | 1 | 06/20/2013 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Monica Katherine Burkhardt | 5504222 | 1 | 03/25/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |