Tiaa-cref Individual & Institutional Services

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

July 26, 2025 | by Staff Attorney

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.

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

July 23, 2025 | by Staff Attorney

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.

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

June 24, 2025 | by Staff Attorney

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.

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

June 23, 2025 | by Staff Attorney

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.

Broker Richard Haupt in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

May 6, 2025 | by Staff Attorney

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.