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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 181-190 out of 457 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Charles Edwin Ford6604747210/02/2018FinancialFinal$0.00$0.00See FINRA Report
Charles Edwin Ford6604747210/02/2018FinancialFinal$0.00$0.00See FINRA Report
Hassan Kareen King6264096109/30/2018FinancialFinal$0.00$0.00See FINRA Report
Kay Lessie Parker5513456109/27/2018FinancialFinal$0.00$0.00See FINRA Report
Mathias Bochat Vogt6993901109/27/2018FinancialFinal$0.00$0.00See FINRA Report
Joni Lynn Campos2227160209/14/2018FinancialFinal$0.00$0.00See FINRA Report
Kent Bevan Shuford4381996308/31/2018FinancialFinal$0.00$0.00See FINRA Report
Asahia Normica Smith6260068208/01/2018FinancialFinal$0.00$0.00See FINRA Report
Jason Tyler Butler6292302107/30/2018FinancialFinal$0.00$0.00See FINRA Report
Nancy Lynn Starnes5132958107/09/2018FinancialFinal$0.00$0.00See FINRA Report

457 Results

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