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 |
|---|---|---|---|---|---|---|---|---|
| Michael Abbott Jones | 4394485 | 2 | 06/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia F Quetant | 3167323 | 1 | 06/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Bouley | 5934222 | 4 | 05/29/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Glenn Brian Sheridan | 2196742 | 3 | 05/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kunal D Vyas | 5312290 | 1 | 05/11/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Russell Green | 2400390 | 1 | 05/08/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Alan Ratzker | 6680532 | 1 | 05/06/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alicia Kay Huburn | 6772091 | 1 | 05/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shaquita Dekendra Belk | 7440128 | 1 | 04/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Alexander Smith | 5464593 | 1 | 04/27/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |