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 |
|---|---|---|---|---|---|---|---|---|
| Shelina D Thompson | 4503993 | 1 | 06/30/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roger William Judy | 2572607 | 1 | 05/11/2005 | Customer Dispute | Settled | $154,000.00 | $0.00 | See FINRA Report |
| Jessica Lynne Cuevas | 5591975 | 1 | 04/29/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rodney Octave Pettus | 3238808 | 4 | 02/18/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peyton Elizabeth Juarez | 7622788 | 1 | 01/19/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Torin Lu'Shane Wallace | 6428854 | 1 | 01/18/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Louis Mureddu | 2254790 | 1 | 01/12/2005 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Brian Dewayne Lewis | 2127827 | 2 | 06/24/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chris Anthony Rogers | 6652814 | 1 | 04/03/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Joseph Jimison | 2512772 | 1 | 03/24/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |