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 |
|---|---|---|---|---|---|---|---|---|
| Amanda Lauretta Hodges | 7339069 | 1 | 01/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renata Elena de Leon-Flores | 6587277 | 8 | 01/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renata Elena de Leon-Flores | 6587277 | 8 | 01/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew James Toepfer | 5765529 | 1 | 12/06/2018 | Customer Dispute | Closed-No Action | $24,000.00 | $0.00 | See FINRA Report |
| Bryce Donovan-Owen Schultz | 7570657 | 1 | 12/04/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tonya Marie McKinney | 6257339 | 2 | 11/20/2018 | Customer Dispute | Denied | $215,278.00 | $0.00 | See FINRA Report |
| Timothy John Brauninger | 4146207 | 1 | 11/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Albert Moffatt | 3136272 | 2 | 10/25/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kirsten Gabrielle Sutton | 6920358 | 1 | 10/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick William Miller | 6548294 | 1 | 10/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |