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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Randall Miller | 5050236 | 2 | 06/27/2017 | Customer Dispute | Settled | $14,137.00 | $0.00 | See FINRA Report |
| Thomas Lawrence Reid | 6084158 | 1 | 05/16/2017 | Customer Dispute | Settled | $5,163.67 | $0.00 | See FINRA Report |
| Patrick Ryan Dennis | 4972342 | 2 | 09/07/2016 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Antonios Giakoumis | 6000184 | 3 | 02/25/2016 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Antonios Giakoumis | 6000184 | 3 | 01/27/2016 | Customer Dispute | Settled | $48,000.00 | $0.00 | See FINRA Report |
| Keith David Gaffney | 2733398 | 2 | 02/25/2015 | Customer Dispute | Settled | $26,600.00 | $0.00 | See FINRA Report |
| Ryan Joseph Thauvette | 5085717 | 1 | 08/26/2014 | Customer Dispute | Settled | $5,280.00 | $0.00 | See FINRA Report |
| Peter Thomas Berkery | 2666822 | 2 | 12/26/2012 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Susan Ellen Plunkett | 2822254 | 2 | 03/10/2010 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Michael William Mangino | 3223453 | 1 | 10/15/2009 | Customer Dispute | Settled | $184,790.00 | $0.00 | See FINRA Report |