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FINRA Broker Disclosures for Tiaa-Cref Individual & Institutional Services, LLC

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.

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Displaying 141-150 out of 457 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Rona Lorraine Bowers4225642212/20/2019FinancialFinal$0.00$0.00See FINRA Report
Prabhvinder Kaur3151694111/27/2019FinancialFinal$0.00$0.00See FINRA Report
Matthew John McKenna7562010111/02/2019CriminalFinal Disposition$0.00$0.00See FINRA Report
Avery Brandon Williams7464918111/01/2019FinancialFinal$0.00$0.00See FINRA Report
Renata Elena de Leon-Flores6587277810/30/2019FinancialFinal$0.00$0.00See FINRA Report
Rochelle Delories Moore3151059110/29/2019FinancialFinal$0.00$0.00See FINRA Report
Richard Philip Chandres3234960110/10/2019FinancialFinal$0.00$0.00See FINRA Report
Michelle Wright-Buckalew4424674109/13/2019FinancialFinal$0.00$0.00See FINRA Report
Althea Marie Maloney2543764109/03/2019FinancialFinal$0.00$0.00See FINRA Report
Dawn Marie Grzyb4124662508/22/2019Judgment / Lien$0.00$0.00See FINRA Report

457 Results

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