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 |
|---|---|---|---|---|---|---|---|---|
| John William Vandersloot | 4142712 | 1 | 10/10/2013 | Customer Dispute | Closed-No Action | $5,222.52 | $0.00 | See FINRA Report |
| Daniel Scott Worley | 5546026 | 1 | 08/26/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Niall Robert Lepper | 5319535 | 1 | 06/20/2013 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Peter Thomas Berkery | 2666822 | 2 | 12/26/2012 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| James Barron Meek | 4809097 | 2 | 02/14/2011 | Customer Dispute | Denied | $51,055.70 | $0.00 | See FINRA Report |
| Arlene Eason Searle | 2654258 | 1 | 01/07/2011 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |
| Phi Quang Pham | 4342730 | 1 | 07/22/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Wayne Bane | 4476332 | 1 | 05/10/2010 | Customer Dispute | Denied | $270,000.00 | $0.00 | See FINRA Report |
| Susan Ellen Plunkett | 2822254 | 2 | 03/10/2010 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Michael William Mangino | 3223453 | 1 | 10/15/2009 | Customer Dispute | Settled | $184,790.00 | $0.00 | See FINRA Report |