Articles Tagged with Tiaa-cref Individual & Institutional Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bruhn (Bruhn), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bruhn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $49,938.25 on April 07, 2022.

The client alleges he was given incorrect information concerning a frequent trading policy and as a result lost earnings on his investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mackenzie Dickson (Dickson), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dickson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 11, 2025.

Through an oral complaint, the client claimed to have received inaccurate information about the tax liability of withdrawals from their variable annuities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Switzer (Switzer), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Switzer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 11, 2025.

Through an oral complaint, the client claimed to have received inaccurate information about the tax liability of withdrawals from their variable annuities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Mooney (Mooney), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mooney recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint with a damage request of $1,000,000.00 on October 20, 2022.

Arbitration Award in favor of Creative Planning. Alleged breach of agreement, breach of fiduciary duties, negligence in the discretionary handling of claimant’s accounts and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law related to the management of options in claimant’s account from August 2017 until September 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jade Eagles (Eagles), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Eagles recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,032,000.00 on May 08, 2025.

The claimants alleged fraud, deceit, misrepresentation, omission of material fact, breach of fiduciary duty, breach of contract, negligence, and interference with economic advantage based on alleged failure to supervise oil and gas investments and conflicts of interest with other family members.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Rushton (Rushton), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rushton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $94,683.00 on May 19, 2025.

Regarding a recommendation to invest in a managed account, the client alleges it was not in his best interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carine Smith (Smith), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 05, 2023.

In a written complaint, the client alleges the Firm executed unauthorized transactions by failing to follow investment instructions related to a rollover from her deceased spouse’s account. To resolve the issue, TIAA corrected the transactions and credited the client’s account $156,316.63, an amount equal to potential lost earnings, on December 29, 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Jenkins (Jenkins), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenkins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 05, 2023.

In a written complaint, the client alleges the Firm executed unauthorized transactions by failing to follow investment instructions related to a rollover from her deceased spouse’s account. To resolve the issue, TIAA corrected the transactions and credited the client’s account $156,316.63, an amount equal to potential lost earnings, on December 29, 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Haupt (Haupt), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haupt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2013 was unsuitable for the customer’s investment objectives and risk tolerance.

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