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FINRA Broker Disclosures for Transamerica Financial Advisors, Inc

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.

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Displaying 281-290 out of 302 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
David Pham2447712505/09/2000Customer DisputeClosed-No Action$5,200.00$0.00See FINRA Report
Willie Caldwell20973251504/10/2000Customer DisputeDenied$5,000.00$0.00See FINRA Report
Tam Nguyen Vu1447631204/06/2000Customer DisputePending$4,500.00$0.00See FINRA Report
Richard Brian Cutler1498430103/17/2000Customer DisputeWithdrawn$7,000.00$0.00See FINRA Report
Lydia Camello Legaspi2681580303/06/2000Customer DisputeClosed-No Action$17,157.60$0.00See FINRA Report
Teresita Dispo Del Rosario2551271612/21/1999Customer DisputeClosed-No Action$18,500.00$0.00See FINRA Report
Ambartsum Bart Balikyan2510806112/09/1999Customer DisputeClosed-No Action$5,700.00$0.00See FINRA Report
Robin Jay Bundy1201496611/02/1999Customer DisputeDenied$7,635.00$0.00See FINRA Report
James Gilbert Mardock2250368210/20/1999Customer DisputeClosed-No Action$10,000.00$0.00See FINRA Report
Virgilio Villa Barayuga2829357209/16/1999Customer DisputeClosed-No Action$13,500.00$0.00See FINRA Report

302 Results

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