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 |
|---|---|---|---|---|---|---|---|---|
| Rachel Anne Schwieger | 5535100 | 2 | 07/19/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin James Callaghan | 4798220 | 2 | 07/05/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Susan Ellen Plunkett | 2822254 | 2 | 06/05/2002 | Customer Dispute | Settled | $8,517.74 | $0.00 | See FINRA Report |
| Brett Michael Foster | 6405728 | 1 | 04/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jared Lee Curlis | 5020026 | 1 | 11/21/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan R Prokay | 5275982 | 1 | 11/10/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Dewayne Lewis | 2127827 | 2 | 10/05/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John T Egan | 5934807 | 4 | 02/05/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roberto Andres Groag | 5045536 | 1 | 01/13/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan P Sechrist | 5323372 | 1 | 11/30/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |