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 |
|---|---|---|---|---|---|---|---|---|
| Arlene Eason Searle | 2654258 | 1 | 01/07/2011 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |
| Juan Carlos Cardona | 7590156 | 1 | 12/22/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Phi Quang Pham | 4342730 | 1 | 07/22/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jarrod Jon Traver | 7407434 | 1 | 06/24/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Linda Darlene Burson-Odle | 2846378 | 1 | 06/02/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Wayne Bane | 4476332 | 1 | 05/10/2010 | Customer Dispute | Denied | $270,000.00 | $0.00 | See FINRA Report |
| Susan Ellen Plunkett | 2822254 | 2 | 03/10/2010 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| William Edward Walters | 5293028 | 1 | 02/11/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael William Mangino | 3223453 | 1 | 10/15/2009 | Customer Dispute | Settled | $184,790.00 | $0.00 | See FINRA Report |
| Sharise Monee Messiah | 7871984 | 1 | 09/27/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |