Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hermann Cruz (Cruz), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cruz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 14, 2026.
Through an oral complaint, the client claimed that he was not completely informed of the impact of liquidating his portfolio upon transfer to TIAA.