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 |
|---|---|---|---|---|---|---|---|---|
| Roger William Judy | 2572607 | 1 | 05/11/2005 | Customer Dispute | Settled | $154,000.00 | $0.00 | See FINRA Report |
| John Lance Bogert | 2639485 | 2 | 10/01/2003 | Customer Dispute | Settled | $70,500.00 | $0.00 | See FINRA Report |
| Susan Ellen Plunkett | 2822254 | 2 | 06/05/2002 | Customer Dispute | Settled | $8,517.74 | $0.00 | See FINRA Report |
| Brian Dewayne Lewis | 2127827 | 2 | 10/05/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Steven Fraser | 2156185 | 1 | 12/23/1999 | Customer Dispute | Settled | $1,349.45 | $0.00 | See FINRA Report |
| John Scott Pontious | 1745023 | 1 | 11/14/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Franklin McCullah | 841702 | 2 | 06/26/1992 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Scott Franklin McCullah | 841702 | 2 | 06/26/1992 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |