Search for: "TIAA-CREF Individual & Institutional Services, LLC"
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8 Mar 2024, 7:36 pm
On February 16, 2024, the Securities and Exchange Commission (SEC) filed a cease-and-desist order along with sanctions against TIAA-CREF Individual and Institutional Services, LLC (TC Services), citing failure to comply with Reg BI’s Care Obligations. [read post]
21 Feb 2024, 7:45 am
During the investigation, the SEC discovered that TIAA’s broker-dealer subsidiary, TIAA-CREF Individual & Institutional Services, neglected to provide critical disclosures to retail customers whose finances it managed. [read post]
13 Sep 2009, 4:41 am
Tiaa-Cref Individual & Institutional Services LLC This matter was before the Court on Defendant’s Motion to Dismiss, following Plaintiff’s Acceptance of Offer of Judgment (”OJ”). [read post]
13 Jul 2021, 7:35 am
The Securities and Exchange Commission today announced that TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), will pay $97 million to settle charges of…Read the Full Press ReleaseHave a securities law question? [read post]
16 Feb 2024, 8:06 am
The Securities and Exchange Commission today announced that registered broker-dealer TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), will pay more than $2. [read post]
6 Mar 2018, 8:07 am
According to FINRA Disciplinary actions for February 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Patrick John Auckland TIAA-CREF Individual & Institutional Services, LLC Morgan Stanley Michael Albert DiPietro Transamerica Financial Advisors, Inc. [read post]
27 Jul 2021, 6:17 am
On July 13, 2021, the Securities and Exchange Commission (“SEC”) published an order instituting administrative cease-and-desist proceedings against TIAA-CREF Individual & Institutional Services, LLC (“TIAA”). [read post]
10 Nov 2016, 9:00 am
TIAA-CREF Individual & Institutional Services, LLC v. [read post]
29 Apr 2011, 2:44 pm
TIAA-CREF Individual and Instit. [read post]
11 Jun 2020, 11:36 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Robert Cacioppo MML Investors Services, LLC NYLife Securities LLC Paula Collins TIAA-CREF Individual & Institutional Services, LLC OppenheimerFunds Distributor, Inc. [read post]
3 Sep 2020, 7:51 am
National Securities Corporation Paula Collins TIAA-CREF Individual & Institutional Services, LLC Oppenheimerfunds Distributor, Inc. [read post]
9 Sep 2021, 2:20 pm
The subsidiary, TIAA-CREF Individual & Institutional Services LLC (TC Services), will pay the SEC $97 million to settle charges that it made inaccurate and misleading statements and failed to adequately disclose conflicts of interest. [read post]
7 Jan 2022, 2:20 pm
TIAA-CREF Individual & Institutional Services LLC (TC Services) – TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), paid the SEC and New York Attorney General a combined $97 million to settle charges that it misled thousands of investors and failed to disclose… [read post]
7 Jan 2022, 2:20 pm
TIAA-CREF Individual & Institutional Services LLC (TC Services) – TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), paid the SEC and New York Attorney General a combined $97 million to settle charges that it misled thousands of investors and failed to disclose… [read post]
29 Jan 2017, 12:40 pm
TIAA-CREF Individual & Institutional Services, LLC (CRD #20472 , New York, New York) submitted an AWC in which the firm was censured and fined $275,000. [read post]
24 Jun 2019, 1:21 pm
It used to be TIAA‑CREF. [read post]
