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 |
|---|---|---|---|---|---|---|---|---|
| Hau Kim Tran | 2906135 | 3 | 08/12/2024 | Customer Dispute | Pending | $479,890.00 | $0.00 | See FINRA Report |
| Abtin Bashirazami | 7526170 | 1 | 06/18/2024 | Customer Dispute | Pending | $241,667.00 | $0.00 | See FINRA Report |
| Victor Greenland | 5916995 | 1 | 04/02/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Sung Woo | 2324482 | 1 | 02/07/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Benny Ongkobudidjojo | 5668611 | 1 | 11/27/2023 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Gary Lee Strawn | 2306975 | 1 | 03/22/2023 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Shane Michael Elsbury | 5661717 | 2 | 11/30/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Hadi Kusumo | 4719552 | 1 | 10/26/2022 | Customer Dispute | Withdrawn | $12,833.00 | $0.00 | See FINRA Report |
| Gary Leonard Ziegler | 2492826 | 2 | 10/18/2022 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Shane Michael Elsbury | 5661717 | 2 | 08/15/2022 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |