The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Mark A Alford (CRD#6003335) regarding allegations made regarding the following:

Claim(s) Made Against Mark A Alford:

Claim Date: 3/24/2020

“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.“”

This claim, as of this posting, is currently Settled.

The investor was paid $18,316.03 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Mark A Alford.

Did you have a negative experience with Mark A Alford?

If you are a former client of Mark A Alford and TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC from CHARLOTTE, NC, and have encountered any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. want to speak with you about the possibility of pursuing a claim. Brokerage firms have a duty to oversee all of their registered representatives, including Mark A Alford, and ensure that they follow all securities regulations, rules, and internal policies. If a brokerage firm fails in this duty, it may be held accountable for investment losses sustained by customers due to a lack of supervision.

The Securities Lawyers are researching bringing claims on behalf of individual(s) and/or a group of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of these types of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” If you were a customer of Mark A Alford and TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at to see if he can help recover your funds.