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 |
|---|---|---|---|---|---|---|---|---|
| Lewis Alan Wexler | 5207714 | 1 | 08/26/2009 | Customer Dispute | Settled | $47,154.00 | $0.00 | See FINRA Report |
| Deborah A Amilowski | 2073145 | 1 | 08/18/2009 | Customer Dispute | Settled | $283,000.00 | $0.00 | See FINRA Report |
| Marc Eric Schneider | 4155241 | 1 | 03/19/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew J Martinez | 5161060 | 1 | 11/03/2008 | Customer Dispute | Settled | $10,766.40 | $0.00 | See FINRA Report |
| Beverly Lynn Briggs Caldwell | 4940674 | 1 | 10/06/2008 | Customer Dispute | Settled | $40,025.00 | $0.00 | See FINRA Report |
| Jack Freeman Reetz | 2639861 | 1 | 07/05/2008 | Customer Dispute | Settled | $41,104.10 | $0.00 | See FINRA Report |
| Jose Adrian Sanchez | 2390442 | 3 | 03/22/2008 | Customer Dispute | Settled | $2,499.00 | $0.00 | See FINRA Report |
| John Lance Bogert | 2639485 | 2 | 02/28/2008 | Customer Dispute | Settled | $27,160.80 | $0.00 | See FINRA Report |
| James Barron Meek | 4809097 | 2 | 07/16/2007 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Vincent Quinn | 3027497 | 1 | 06/15/2006 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |