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 |
|---|---|---|---|---|---|---|---|---|
| David Thomas Garrison | 5784455 | 1 | 02/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Chris Flynn | 4297590 | 1 | 12/10/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Freeman Buckner Irby | 2223441 | 1 | 11/26/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Scott Pontious | 1745023 | 1 | 11/14/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thor August Johnson | 4058353 | 1 | 11/05/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Glorioso | 4292271 | 1 | 01/23/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Onika Kirk Jennings | 2965762 | 3 | 11/19/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Onika Kirk Jennings | 2965762 | 3 | 07/02/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lane Grizzard | 2595087 | 2 | 02/26/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Casias | 2800456 | 1 | 08/23/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |