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 |
|---|---|---|---|---|---|---|---|---|
| Rodney Lee Morgan | 4442487 | 1 | 02/05/2008 | Customer Dispute | Closed-No Action | $15,297.00 | $0.00 | See FINRA Report |
| John Joseph Scinto | 1922240 | 5 | 01/16/2008 | Customer Dispute | Denied | $7,352.20 | $0.00 | See FINRA Report |
| Jillia N Tjong | 4616241 | 1 | 10/18/2007 | Customer Dispute | Withdrawn | $18,381.00 | $0.00 | See FINRA Report |
| Ka-Chong Wong | 4641147 | 2 | 10/17/2007 | Customer Dispute | Denied | $14,040.00 | $0.00 | See FINRA Report |
| Ka-Chong Wong | 4641147 | 2 | 10/17/2007 | Customer Dispute | Denied | $14,280.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 10/16/2007 | Customer Dispute | Denied | $13,155.00 | $0.00 | See FINRA Report |
| Jarrod Bruce Hendricks | 3106404 | 5 | 10/01/2007 | Customer Dispute | Denied | $23,200.00 | $0.00 | See FINRA Report |
| Hyun Sun Shin | 4731310 | 1 | 09/18/2007 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Radha Ramlal | 3257904 | 1 | 08/24/2007 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Charles Arnold Carter | 1099377 | 1 | 06/18/2007 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |