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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 151-160 out of 457 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Heather Ann Anderson5620604307/31/2019FinancialFinal$0.00$0.00See FINRA Report
Heather Ann Anderson5620604307/31/2019FinancialFinal$0.00$0.00See FINRA Report
Heather Ann Anderson5620604307/31/2019FinancialFinal$0.00$0.00See FINRA Report
Timothy Pedrero2992898107/09/2019Customer DisputeSettled$142,866.00$0.00See FINRA Report
John James Fader1433090506/20/2019FinancialFinal$0.00$0.00See FINRA Report
Timothy Montillano Salunga5627351206/10/2019Customer DisputeSettled$96,000.00$0.00See FINRA Report
Taylor Lauren O'Neill6274622105/14/2019FinancialFinal$0.00$0.00See FINRA Report
Latanya Tamara Powell4128231305/01/2019FinancialFinal$0.00$0.00See FINRA Report
Shaun A Bharrat5801643103/19/2019FinancialFinal$0.00$0.00See FINRA Report
Devonte Jamar Joy7280334103/15/2019CriminalFinal Disposition$0.00$0.00See FINRA Report

457 Results

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