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 |
|---|---|---|---|---|---|---|---|---|
| Antonios Giakoumis | 6000184 | 3 | 10/19/2015 | Customer Dispute | Denied | $124,168.00 | $0.00 | See FINRA Report |
| Patrick Ryan Dennis | 4972342 | 2 | 10/16/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sheryl Jaffe Curtis | 5824832 | 2 | 09/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Victor John Roach | 4084997 | 1 | 08/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tara Alyssia Gurr | 6174045 | 1 | 08/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Evette Morris-Howze | 6604776 | 1 | 08/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa McGrath | 2185761 | 1 | 08/18/2015 | Customer Dispute | Final | $162,697.00 | $0.00 | See FINRA Report |
| Kanoshia Kyara Renee Flemming | 7483535 | 1 | 08/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jon Thomas Maximo | 6359065 | 1 | 07/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Swick | 6835646 | 2 | 06/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |