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 Glen Volden | 2701314 | 1 | 03/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Robert Wiper | 2295295 | 3 | 12/14/2003 | Customer Dispute | Denied | $9,595.00 | $0.00 | See FINRA Report |
| Arrington Patrick Lee | 7526830 | 1 | 11/05/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Lance Bogert | 2639485 | 2 | 10/01/2003 | Customer Dispute | Settled | $70,500.00 | $0.00 | See FINRA Report |
| Rachel Anne Schwieger | 5535100 | 2 | 09/15/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Thomas Berkery | 2666822 | 2 | 08/25/2003 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |
| Jared Steven Birely | 6175090 | 1 | 08/02/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrea Marie Ward | 5224594 | 1 | 07/16/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Robert Wiper | 2295295 | 3 | 05/12/2003 | Customer Dispute | Denied | $9,363.00 | $0.00 | See FINRA Report |
| Lameeka Boyd | 7456428 | 1 | 12/18/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |