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 |
|---|---|---|---|---|---|---|---|---|
| Alexis Javier | 5888125 | 1 | 08/06/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christal Lynn Thomas | 4773266 | 1 | 07/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Scott Hance | 4531684 | 1 | 01/26/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Black | 4881553 | 1 | 03/19/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan Scott Brooks | 5139708 | 1 | 02/21/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ricky Edward Rosenthal | 7020477 | 1 | 12/19/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Merritt Ross | 5049000 | 1 | 11/27/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Matthew Dunn | 2728289 | 1 | 07/29/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tobin Lamont Lyon | 3204651 | 2 | 07/24/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Deanna Ilena Moss | 5504644 | 1 | 04/24/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |