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 |
|---|---|---|---|---|---|---|---|---|
| William Clayton Payne | 6797169 | 1 | 12/03/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shannon Bruce Thomas | 6629536 | 1 | 10/02/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeremiah Lanny Johnson | 6277803 | 1 | 06/29/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Wade Johnson | 5981609 | 1 | 06/18/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Angelic Lavette Phillips | 4741554 | 1 | 03/19/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Judy Marie Kee | 4191514 | 1 | 09/15/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tiffany Rochelle Guy | 5065354 | 1 | 07/13/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Dale Stevenson | 5316898 | 1 | 06/14/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Barron Meek | 4809097 | 2 | 02/14/2011 | Customer Dispute | Denied | $51,055.70 | $0.00 | See FINRA Report |
| Jonel Mountcastle | 5442727 | 1 | 01/10/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |