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 |
|---|---|---|---|---|---|---|---|---|
| Heather Jo Turner | 5093470 | 2 | 02/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Shea Thompson | 5051743 | 1 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tenesha Ronnette Barron | 6864721 | 2 | 01/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tenesha Ronnette Barron | 6864721 | 2 | 01/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John James Fader | 1433090 | 5 | 01/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Slava S Davidoff | 5721673 | 1 | 12/21/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Wallace Stauder | 1609048 | 1 | 12/01/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Erin Lyn Alves | 6067639 | 4 | 11/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Valdez Lundquist | 6749948 | 1 | 10/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Umair Zaman | 6082359 | 1 | 09/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |