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 |
|---|---|---|---|---|---|---|---|---|
| Antonios Giakoumis | 6000184 | 3 | 02/25/2016 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Valery Volkau | 5348681 | 1 | 02/10/2016 | Customer Dispute | Denied | $19,310.80 | $0.00 | See FINRA Report |
| Antonios Giakoumis | 6000184 | 3 | 01/27/2016 | Customer Dispute | Settled | $48,000.00 | $0.00 | See FINRA Report |
| Antonios Giakoumis | 6000184 | 3 | 10/19/2015 | Customer Dispute | Denied | $124,168.00 | $0.00 | See FINRA Report |
| 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 |
| Keith David Gaffney | 2733398 | 2 | 02/25/2015 | Customer Dispute | Settled | $26,600.00 | $0.00 | See FINRA Report |
| Bobby Lee Slate | 3043107 | 2 | 12/15/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ryan Joseph Thauvette | 5085717 | 1 | 08/26/2014 | Customer Dispute | Settled | $5,280.00 | $0.00 | See FINRA Report |
| Bobby Lee Slate | 3043107 | 2 | 06/24/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |