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 |
|---|---|---|---|---|---|---|---|---|
| John T Egan | 5934807 | 4 | 07/21/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Vincent Quinn | 3027497 | 1 | 06/15/2006 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Tobin Lamont Lyon | 3204651 | 2 | 05/25/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Octave Pettus | 3238808 | 4 | 04/18/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Anson Nichols | 7164864 | 1 | 12/30/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rodney Octave Pettus | 3238808 | 4 | 12/22/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John T Egan | 5934807 | 4 | 11/21/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Octave Pettus | 3238808 | 4 | 09/28/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Debbie Dehon Rose | 1912733 | 1 | 09/22/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jarrod Glenn Fowler | 2801490 | 2 | 08/25/2005 | Customer Dispute | Denied | $7,134.00 | $0.00 | See FINRA Report |