Our Staff has compiled our research into a database of FINRA Broker Disclosures for Transamerica Financial Advisors, Inc. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Gregory Dean Sorensen | 2207121 | 2 | 06/27/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Brooks Louis Sternberg | 4358859 | 3 | 05/17/2019 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Alec Kwok Leung Chan | 2145816 | 2 | 09/25/2018 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| James Leo Mann | 2743096 | 1 | 08/24/2017 | Customer Dispute | Closed-No Action | $12,304.90 | $0.00 | See FINRA Report |
| Steven Andrew Miller | 2514740 | 1 | 04/21/2017 | Customer Dispute | Closed-No Action | $42,537.00 | $0.00 | See FINRA Report |
| Jack Roger Feldman | 1253672 | 2 | 07/16/2015 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| John C Shin | 2575864 | 5 | 03/16/2012 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Rinico Weldon Sawyer | 1477782 | 4 | 08/04/2011 | Customer Dispute | Closed-No Action | $5,650.00 | $0.00 | See FINRA Report |
| Shawn Edward Villalovos | 4152968 | 5 | 10/17/2008 | Customer Dispute | Closed-No Action | $37,473.90 | $0.00 | See FINRA Report |
| Shawn Edward Villalovos | 4152968 | 5 | 10/17/2008 | Customer Dispute | Closed-No Action | $49,191.30 | $0.00 | See FINRA Report |