Tiaa-cref Individual & Institutional Services Tag Archives

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.

Broker Rachele Bonus Newman in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

February 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2021.

The client alleged misrepresentation concerning the suitability.

Broker Kevin Callaghan in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Callaghan (Callaghan), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Callaghan 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 $100,000.00 on August 31, 2021.

Claimant alleges the representative recommended annuities and payout elections which were not in the best interest of the decedent. As a result, the Estate does not have access to roughly halfof the decedents retirement savings.

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

December 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2022.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.

Broker George Kontos in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

December 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2022.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

Broker Jeffrey Bruhn in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

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.

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

October 12, 2025 | by Staff Attorney

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.