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 |
|---|---|---|---|---|---|---|---|---|
| Leon Devonta Johnson | 7730075 | 1 | 07/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Erin Lyn Alves | 6067639 | 4 | 07/25/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Randal Haupt | 4212929 | 1 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dawn Marie Grzyb | 4124662 | 5 | 09/22/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| George Michael Kontos | 7147967 | 1 | 01/20/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Rona Lorraine Bowers | 4225642 | 2 | 01/18/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |