Tiaa-cref Individual & Institutional Services Tag Archives

There are Recent Customer Complaints with Broker Nicholas Wasielewski in Firm Tiaa-cref Individual & Institutional Services, LLC

July 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 05, 2020.

The client alleges that the representative recommended a reduction in the client’s exposure to stocks and bonds on February 14, 2020 and that the representative failed to timely make these changes even after the client indicated in an email to the representative that he wanted to make the changes on March 2, 2020.

There are Recent Customer Complaints with Broker Kenneth Farbizio in Firm Tiaa-cref Individual & Institutional Services, LLC

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 05, 2020.

The client states she met with the representative on December 13, 2018 and discussed her account portfolio. The client indicates that her accounts were redistributed that day without her knowledge to a more conservative portfolio than she previously had with her employer plan accounts.

There are Recent Customer Complaints with Broker Errol Griffiths in Firm Tiaa-cref Individual & Institutional Services, LLC

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

The customer alleges failure to disclose charges, expenses and fees, guarantees and risks and the free look provision. This complaint was received on 1/14/20 but was not reported because it did not meet our criteria for reporting. The complaint is now being reported due to the settlement amount of $31,500.

Broker Mark Alford in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 24, 2020.

The clients state that ‘I have to ask why the request we made last fall has not been completed.’ The clients allege that they spoke with the representative in October 2019 and requested a full account liquation which has not been completed. The client further states ‘we obviously shouldn’t pay the price for the delays on the part of TIAA.’

Broker Olivier Marcelin in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Olivier Marcelin (Marcelin), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marcelin 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 $5,000.00 on May 14, 2026.

Client alleges RR made misrepresentations in connection with a VUL policy purchased in 2023.

There are Recent Customer Complaints with Broker Hermann Cruz in Firm Tiaa-cref Individual & Institutional Services, LLC

June 18, 2026 | by Staff Attorney

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.

Broker Alicia Huburn in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

May 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 06, 2020.

In the Arbitration statement of claim, the client alleges that the representative did not follow his instructions to liquidate funds from a specific account in March 2018. The client claims that his disability premiums were discontinued and forfeited due to the withdrawal from his Retirement Annuity and he has suffered damages as a result.

There are Recent Customer Complaints with Broker Kunal Vyas in Firm Tiaa-cref Individual & Institutional Services, LLC

May 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2020.

The client alleges that he was explicitly clear on March 10, 2020 that they wanted all of their investments out of the stock market, the transactions were not completed until March 26, 2020 and due to the delay, experienced lost account value as a result.

Broker David Anderson in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 11, 2020.

In the Complaint, the client alleges that TIAA representatives made false representations prior to the signing of the annuity application dated December 26, 2015. The client further alleges that TIAA substituted terms into the annuity documents which materially varied from the representations that the representatives made to the client, were not agreed upon by the parties and seeks compensatory damages in excess of $300,000.00.

Broker Don Henry in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 11, 2020.

In the Complaint, the client alleges that TIAA representatives made false representations prior to the signing of the annuity application dated December 26, 2015. The client further alleges that TIAA substituted terms into the annuity documents which materially varied from the representations that the representatives made to the client, were not agreed upon by the parties and seeks compensatory damages in excess of $300,000.00.