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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Randall Miller | 5050236 | 2 | 05/05/2017 | Customer Dispute | Denied | $13,712.00 | $0.00 | See FINRA Report |
| Angela Michele Thomas | 7012220 | 2 | 05/01/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joann Nativedad Martinez | 4467313 | 1 | 04/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Lynch | 4612624 | 1 | 04/20/2017 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |
| Latanya K Winfield | 7265466 | 1 | 03/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carolynne Elizabeth Singerman | 3041349 | 5 | 03/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Bruce Buller | 4957543 | 1 | 03/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mitchell Juda | 6758015 | 1 | 03/08/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Desiree Michelle Lucero | 5525510 | 1 | 03/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy M Wallace | 3237123 | 2 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |