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 |
|---|---|---|---|---|---|---|---|---|
| Michael Andrew Hecklinger | 2409607 | 1 | 11/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Nathaniel Lawrence | 3264638 | 1 | 11/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richmond Agyekum | 7081939 | 2 | 11/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Albert Moffatt | 3136272 | 2 | 10/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheryl Jaffe Curtis | 5824832 | 2 | 09/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tara Alyssia Gurr | 6174045 | 1 | 08/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Evette Morris-Howze | 6604776 | 1 | 08/19/2015 | Financial | Final | $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 |
| Kanoshia Kyara Renee Flemming | 7483535 | 1 | 08/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jon Thomas Maximo | 6359065 | 1 | 07/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |