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 |
|---|---|---|---|---|---|---|---|---|
| Morgan Kay Nations | 6650062 | 1 | 09/20/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francisco Jose Vargas-MacHuca | 6173414 | 6 | 09/07/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heath Andrew Polzer | 5082873 | 1 | 07/11/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Freeman Reetz | 2639861 | 1 | 07/05/2008 | Customer Dispute | Settled | $41,104.10 | $0.00 | See FINRA Report |
| Jon David Landvatter | 3011054 | 1 | 06/14/2008 | Customer Dispute | Denied | $6,625.58 | $0.00 | See FINRA Report |
| Darin Lamone Daniels | 3136753 | 1 | 04/30/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrea Deana Suchy-Shinn | 4728304 | 2 | 04/07/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stacey K Martinez | 2911306 | 1 | 04/02/2008 | Customer Dispute | Denied | $27,700.00 | $0.00 | See FINRA Report |
| Jose Adrian Sanchez | 2390442 | 3 | 03/22/2008 | Customer Dispute | Settled | $2,499.00 | $0.00 | See FINRA Report |
| John Lance Bogert | 2639485 | 2 | 02/28/2008 | Customer Dispute | Settled | $27,160.80 | $0.00 | See FINRA Report |