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 |
|---|---|---|---|---|---|---|---|---|
| Jack Freeman Reetz | 2639861 | 1 | 07/05/2008 | Customer Dispute | Settled | $41,104.10 | $0.00 | See FINRA Report |
| Jon David Landvatter | 3011054 | 1 | 06/14/2008 | Customer Dispute | Denied | $6,625.58 | $0.00 | See FINRA Report |
| Andrea Deana Suchy-Shinn | 4728304 | 2 | 04/07/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stacey K Martinez | 2911306 | 1 | 04/02/2008 | Customer Dispute | Denied | $27,700.00 | $0.00 | See FINRA Report |
| Jose Adrian Sanchez | 2390442 | 3 | 03/22/2008 | Customer Dispute | Settled | $2,499.00 | $0.00 | See FINRA Report |
| John Lance Bogert | 2639485 | 2 | 02/28/2008 | Customer Dispute | Settled | $27,160.80 | $0.00 | See FINRA Report |
| Robert Charles Carlone | 2202933 | 1 | 12/17/2007 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| James Barron Meek | 4809097 | 2 | 07/16/2007 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Andrea Deana Suchy-Shinn | 4728304 | 2 | 11/09/2006 | Customer Dispute | Denied | $36,328.00 | $0.00 | See FINRA Report |
| Charles Russell Hawes | 4190938 | 1 | 07/07/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |