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 |
|---|---|---|---|---|---|---|---|---|
| Dawn Marie Grzyb | 4124662 | 5 | 08/09/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joe Aaron Yanez | 6094081 | 2 | 07/24/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joe Aaron Yanez | 6094081 | 2 | 07/05/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Brandon Stephen | 3197951 | 1 | 10/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Roberts | 4841734 | 1 | 08/27/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sherri Leigh Spurlock | 6548298 | 1 | 04/05/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Endria Varnise Hopkins | 6403374 | 1 | 09/08/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dawn Marie Grzyb | 4124662 | 5 | 08/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Lane Linebarger | 6818769 | 1 | 02/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Albert Moffatt | 3136272 | 2 | 10/25/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |