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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Edward Groves | 4179684 | 1 | 02/24/2011 | Customer Dispute | Denied | $6,906.61 | $0.00 | See FINRA Report |
| Matthew Wayne Heward | 2881250 | 4 | 02/18/2011 | Customer Dispute | Denied | $7,799.78 | $0.00 | See FINRA Report |
| Natalie Monique Plant | 4795703 | 6 | 01/17/2011 | Customer Dispute | Settled | $7,570.09 | $0.00 | See FINRA Report |
| Hsuan-Hui S Yu | 4713723 | 1 | 09/28/2010 | Customer Dispute | Denied | $5,741.10 | $0.00 | See FINRA Report |
| Fei Yun Chen | 3275414 | 1 | 07/22/2010 | Customer Dispute | Denied | $6,394.11 | $0.00 | See FINRA Report |
| Xi Yan Ruan | 4504930 | 1 | 06/01/2010 | Customer Dispute | Denied | $32,186.00 | $0.00 | See FINRA Report |
| Attila Zsigmond | 4177498 | 3 | 04/13/2010 | Customer Dispute | Denied | $9,310.35 | $0.00 | See FINRA Report |
| Shkira Singh | 4318894 | 3 | 12/09/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Wineka Puspowardojo Boendi | 4119674 | 1 | 12/07/2009 | Customer Dispute | Settled | $5,901.47 | $0.00 | See FINRA Report |
| Ericka Lynette Towe | 4222099 | 1 | 10/02/2009 | Customer Dispute | Denied | $87,632.00 | $0.00 | See FINRA Report |