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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Robert Michael Polak | 2626788 | 1 | 10/09/2008 | Customer Dispute | Denied | $16,653.30 | $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 |
| Robert Charles Carlone | 2202933 | 1 | 12/17/2007 | Customer Dispute | Denied | $26,000.00 | $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 |
| Jarrod Glenn Fowler | 2801490 | 2 | 08/25/2005 | Customer Dispute | Denied | $7,134.00 | $0.00 | See FINRA Report |
| Brian Dewayne Lewis | 2127827 | 2 | 06/24/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |