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 |
|---|---|---|---|---|---|---|---|---|
| Trina Marie Anglada | 3077673 | 1 | 08/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Breila Maureen Ohalloran | 7176410 | 1 | 08/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Darlene Robinson | 7460357 | 1 | 08/03/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Louis Vingle | 6450898 | 1 | 07/20/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Debra Jensen McKay | 7033894 | 2 | 07/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Randall Miller | 5050236 | 2 | 06/27/2017 | Customer Dispute | Settled | $14,137.00 | $0.00 | See FINRA Report |
| Carolynne Elizabeth Singerman | 3041349 | 5 | 06/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vondesa N Drummer | 5121411 | 1 | 06/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Surai Basanow Quimby | 6054786 | 3 | 05/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Lawrence Reid | 6084158 | 1 | 05/16/2017 | Customer Dispute | Settled | $5,163.67 | $0.00 | See FINRA Report |