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 |
|---|---|---|---|---|---|---|---|---|
| Bobby Lee Slate | 3043107 | 2 | 06/24/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Angela Michele Thomas | 7012220 | 2 | 03/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Alan Motelson | 6123911 | 1 | 12/23/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John William Vandersloot | 4142712 | 1 | 10/10/2013 | Customer Dispute | Closed-No Action | $5,222.52 | $0.00 | See FINRA Report |
| Matthew Robert Swick | 6835646 | 2 | 09/21/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Scott Worley | 5546026 | 1 | 08/26/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gavin Michael Mease | 7497820 | 1 | 07/09/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Niall Robert Lepper | 5319535 | 1 | 06/20/2013 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Tonya Marie McKinney | 6257339 | 2 | 01/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Thomas Berkery | 2666822 | 2 | 12/26/2012 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |