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 |
|---|---|---|---|---|---|---|---|---|
| James Leo Mann | 2743096 | 1 | 08/24/2017 | Customer Dispute | Closed-No Action | $12,304.90 | $0.00 | See FINRA Report |
| Lester Baron | 5665479 | 1 | 04/27/2017 | Customer Dispute | Denied | $14,608.00 | $0.00 | See FINRA Report |
| Steven Andrew Miller | 2514740 | 1 | 04/21/2017 | Customer Dispute | Closed-No Action | $42,537.00 | $0.00 | See FINRA Report |
| Xuli Zong | 4439738 | 1 | 03/22/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Ha Le Truong | 4066887 | 1 | 02/03/2017 | Customer Dispute | Denied | $8,775.32 | $0.00 | See FINRA Report |
| John C Shin | 2575864 | 5 | 01/12/2017 | Customer Dispute | Settled | $19,715.00 | $0.00 | See FINRA Report |
| Kevin James Larsen | 4186414 | 2 | 08/22/2016 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Zheng Qu | 5301314 | 2 | 05/11/2016 | Customer Dispute | Settled | $98,230.50 | $0.00 | See FINRA Report |
| Hanna Liza Horenstein | 4244493 | 1 | 03/23/2016 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Chester E Palid | 5708649 | 1 | 03/09/2016 | Customer Dispute | Denied | $51,261.80 | $0.00 | See FINRA Report |