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 |
|---|---|---|---|---|---|---|---|---|
| Michael Christopher Dipenta | 5132773 | 1 | 03/23/2020 | Customer Dispute | Closed-No Action | $10,490.90 | $0.00 | See FINRA Report |
| Jose Adrian Sanchez | 2390442 | 3 | 03/08/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Mark Wasielewski | 2904941 | 1 | 03/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Erin Lyn Alves | 6067639 | 4 | 03/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Lyn Alves | 6067639 | 4 | 02/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Vazquez Rodriguez | 7512655 | 1 | 02/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benedict Keingatti | 6824488 | 2 | 02/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benedict Keingatti | 6824488 | 2 | 02/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Abbott Jones | 4394485 | 2 | 02/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John James Fader | 1433090 | 5 | 01/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |