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 |
|---|---|---|---|---|---|---|---|---|
| Clifford Robert Hitt | 6485813 | 1 | 04/14/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Scott Crampton | 4092565 | 2 | 02/10/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Steven Fraser | 2156185 | 1 | 12/23/1999 | Customer Dispute | Settled | $1,349.45 | $0.00 | See FINRA Report |
| Robert K Young | 5060214 | 1 | 12/16/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jennifer Shannon | 2490811 | 1 | 05/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kristopher Michael Hyland | 5587645 | 1 | 12/03/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michelle Bianca Huggins | 4284013 | 1 | 10/30/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tara Anne Davis | 5441665 | 1 | 10/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Navarra Tomaneng | 2412116 | 1 | 02/23/1998 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Jung L Hu | 5105367 | 1 | 02/11/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |