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 |
|---|---|---|---|---|---|---|---|---|
| Robert Charles Carlone | 2202933 | 1 | 12/17/2007 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| Benjamin William Rath | 7654325 | 1 | 11/17/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael John Dziomba | 2912572 | 1 | 10/26/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Barron Meek | 4809097 | 2 | 07/16/2007 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John T Egan | 5934807 | 4 | 11/24/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea Deana Suchy-Shinn | 4728304 | 2 | 11/09/2006 | Customer Dispute | Denied | $36,328.00 | $0.00 | See FINRA Report |
| Jeremy Benjamin Kohn | 2137403 | 1 | 10/11/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Montillano Salunga | 5627351 | 2 | 09/21/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joyce Clothilde Alegeh | 7585388 | 1 | 09/03/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin Ojay Smith | 7698200 | 1 | 08/18/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |