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 |
|---|---|---|---|---|---|---|---|---|
| Robert John Tencate | 4587293 | 1 | 07/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chelsea Nicole Stepchuk | 7191674 | 3 | 06/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chelsea Nicole Stepchuk | 7191674 | 3 | 06/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gilbert Patrick Harrison | 5565905 | 1 | 06/16/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Chelsea Nicole Stepchuk | 7191674 | 3 | 06/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen James Genkinger | 2879323 | 1 | 05/12/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary Beth Zeitlen | 2151558 | 2 | 05/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Beth Zeitlen | 2151558 | 2 | 05/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy M Wallace | 3237123 | 2 | 05/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ana Maria Laura Harding | 6598410 | 1 | 04/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |