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 |
|---|---|---|---|---|---|---|---|---|
| William Gerald Nelkin | 3204612 | 1 | 04/13/2022 | Customer Dispute | Closed-No Action | $16,473.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Bruhn | 3246964 | 1 | 04/07/2022 | Customer Dispute | Settled | $49,938.20 | $0.00 | See FINRA Report |
| Robin Frederick Oles | 5793998 | 1 | 03/03/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richmond Agyekum | 7081939 | 2 | 02/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Saul Renteria | 6403371 | 1 | 02/13/2022 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Michael James Lanigan | 1237743 | 1 | 01/28/2022 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Carlos Joshua Arteaga | 6233790 | 1 | 01/03/2022 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Amy Julia Wong-Pawa | 5598905 | 1 | 12/27/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matthew Telera | 4192941 | 5 | 11/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Brandon Stephen | 3197951 | 1 | 10/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |