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 |
|---|---|---|---|---|---|---|---|---|
| Lu Ling Li | 4997371 | 1 | 12/04/2020 | Customer Dispute | Settled | $54,500.00 | $0.00 | See FINRA Report |
| Feng Luo | 5508192 | 1 | 10/23/2020 | Customer Dispute | Settled | $472,800.00 | $0.00 | See FINRA Report |
| Sara Blatt Collins | 2921061 | 4 | 05/05/2020 | Customer Dispute | Denied | $42,839.00 | $0.00 | See FINRA Report |
| Tyrone A Chaplin | 4276472 | 2 | 02/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lam Thanh Giang | 6282550 | 1 | 12/30/2019 | Customer Dispute | Denied | $9,705.00 | $0.00 | See FINRA Report |
| Racquel Roxann Ramlal-Slawinski | 3165650 | 2 | 05/31/2019 | Customer Dispute | Denied | $6,580.66 | $0.00 | See FINRA Report |
| Edward Thomas Smelich | 2561139 | 1 | 05/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brooks Louis Sternberg | 4358859 | 3 | 05/17/2019 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Enrique Daniel Yuan Huang | 6576877 | 1 | 01/24/2019 | Customer Dispute | Denied | $57,482.50 | $0.00 | See FINRA Report |
| Michael Clement Lyle | 2418644 | 5 | 01/15/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |