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 |
|---|---|---|---|---|---|---|---|---|
| Pei Ney Ooi | 2488135 | 1 | 05/30/2002 | Customer Dispute | Denied | $14,880.00 | $0.00 | See FINRA Report |
| Thomas Donald Hanson | 2742123 | 1 | 05/13/2002 | Customer Dispute | Settled | $52,422.00 | $0.00 | See FINRA Report |
| Matthew Wayne Heward | 2881250 | 4 | 05/13/2002 | Customer Dispute | Denied | $158,376.00 | $0.00 | See FINRA Report |
| James M Jones | 3241114 | 1 | 05/13/2002 | Customer Dispute | Settled | $52,422.00 | $0.00 | See FINRA Report |
| Gregory Dean Sorensen | 2207121 | 2 | 05/10/2002 | Customer Dispute | Denied | $7,339.00 | $0.00 | See FINRA Report |
| Virgilio Villa Barayuga | 2829357 | 2 | 02/20/2002 | Customer Dispute | Denied | $13,908.00 | $0.00 | See FINRA Report |
| Robert Frederick Pearson | 2142858 | 3 | 02/11/2002 | Customer Dispute | Denied | $19,504.30 | $0.00 | See FINRA Report |
| Selina Hoi Yin Chan | 3246213 | 1 | 01/16/2002 | Customer Dispute | Pending | $12,000.00 | $0.00 | See FINRA Report |
| Lei Shi | 2859762 | 1 | 01/11/2002 | Customer Dispute | Withdrawn | $12,000.00 | $0.00 | See FINRA Report |
| Racquel Roxann Ramlal-Slawinski | 3165650 | 2 | 01/11/2002 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |