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 |
|---|---|---|---|---|---|---|---|---|
| Zhaohui Connie Chen | 4180444 | 3 | 10/12/2004 | Customer Dispute | Denied | $7,994.51 | $0.00 | See FINRA Report |
| Troy R Spencer | 2161650 | 1 | 09/22/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Tracy Tsuey Jyu Chiang | 2768539 | 1 | 09/21/2004 | Customer Dispute | Settled | $6,377.00 | $0.00 | See FINRA Report |
| Michael Shawn McCormack | 4055624 | 3 | 09/21/2004 | Customer Dispute | Settled | $5,600.00 | $0.00 | See FINRA Report |
| Judith Tai Hsiao | 1668443 | 1 | 09/15/2004 | Customer Dispute | Denied | $10,549.80 | $0.00 | See FINRA Report |
| Bruce Alan Bailey | 1368251 | 1 | 09/14/2004 | Customer Dispute | Denied | $7,516.79 | $0.00 | See FINRA Report |
| Melvin Harold Bell | 2528418 | 1 | 08/11/2004 | Customer Dispute | Settled | $336,025.00 | $0.00 | See FINRA Report |
| Jeffrey M Wolfrey | 3276704 | 2 | 07/13/2004 | Customer Dispute | Denied | $33,853.90 | $0.00 | See FINRA Report |
| Marann Man | 2447648 | 2 | 07/12/2004 | Customer Dispute | Denied | $8,750.00 | $0.00 | See FINRA Report |
| Jaime Marie Villalovos | 4129115 | 1 | 04/19/2004 | Customer Dispute | Denied | $23,193.50 | $0.00 | See FINRA Report |