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 |
|---|---|---|---|---|---|---|---|---|
| Robin Rodriguez | 5446298 | 1 | 09/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wissam Salim Bou Faycal | 6276715 | 1 | 08/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicki Lee Beatty | 7023718 | 1 | 06/23/2022 | Customer Dispute | Closed-No Action | $164,820.00 | $0.00 | See FINRA Report |
| Russell Lane McClain | 6317200 | 1 | 06/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Alan Richard Toms | 6174150 | 1 | 06/13/2022 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Stephen William Marcou | 5087224 | 1 | 05/18/2022 | Customer Dispute | Closed-No Action | $48,324.90 | $0.00 | See FINRA Report |
| Cassandra Atieno Bonyo | 7474378 | 1 | 05/12/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andreja Dugacki | 6741152 | 1 | 04/28/2022 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| William Gerald Nelkin | 3204612 | 1 | 04/13/2022 | Customer Dispute | Closed-No Action | $16,473.00 | $0.00 | See FINRA Report |
| Robin Frederick Oles | 5793998 | 1 | 03/03/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |