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 |
|---|---|---|---|---|---|---|---|---|
| Erin Lyn Alves | 6067639 | 3 | 03/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Lyn Alves | 6067639 | 3 | 02/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Vazquez Rodriguez | 7512655 | 1 | 02/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Abbott Jones | 4394485 | 2 | 02/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John James Fader | 1433090 | 5 | 01/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rona Lorraine Bowers | 4225642 | 2 | 12/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew John McKenna | 7562010 | 1 | 11/02/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Avery Brandon Williams | 7464918 | 1 | 11/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renata Elena de Leon-Flores | 6587277 | 8 | 10/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rochelle Delories Moore | 3151059 | 1 | 10/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |