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 |
|---|---|---|---|---|---|---|---|---|
| Lewis Alan Wexler | 5207714 | 1 | 08/26/2009 | Customer Dispute | Settled | $47,154.00 | $0.00 | See FINRA Report |
| Deborah A Amilowski | 2073145 | 1 | 08/18/2009 | Customer Dispute | Settled | $283,000.00 | $0.00 | See FINRA Report |
| Adelso de Jesus Taveras | 6723662 | 1 | 06/12/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carole Louise Welsh | 5221610 | 1 | 05/20/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Robert Wiper | 2295295 | 3 | 04/06/2009 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| Marc Eric Schneider | 4155241 | 1 | 03/19/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Maulik Rajesh Mankad | 7316403 | 1 | 02/14/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew J Martinez | 5161060 | 1 | 11/03/2008 | Customer Dispute | Settled | $10,766.40 | $0.00 | See FINRA Report |
| Robert Michael Polak | 2626788 | 1 | 10/09/2008 | Customer Dispute | Denied | $16,653.30 | $0.00 | See FINRA Report |
| Beverly Lynn Briggs Caldwell | 4940674 | 1 | 10/06/2008 | Customer Dispute | Settled | $40,025.00 | $0.00 | See FINRA Report |