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 |
|---|---|---|---|---|---|---|---|---|
| Richard Randal Haupt | 4212929 | 1 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Leslie Margaret Frank | 4313035 | 6 | 03/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Margaret Frank | 4313035 | 6 | 03/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Margaret Frank | 4313035 | 6 | 03/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francisco Jose Vargas-MacHuca | 6173414 | 6 | 02/09/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lori R Oakeson | 3255365 | 6 | 01/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lori R Oakeson | 3255365 | 6 | 01/25/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lori R Oakeson | 3255365 | 6 | 01/25/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lori R Oakeson | 3255365 | 6 | 01/25/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francisco Jose Vargas-MacHuca | 6173414 | 6 | 01/24/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |