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 |
|---|---|---|---|---|---|---|---|---|
| Mark William Redman | 1026426 | 2 | 02/16/2016 | Customer Dispute | Denied | $6,068.03 | $0.00 | See FINRA Report |
| Zheng Qu | 5301314 | 2 | 02/15/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Timothy A Francis | 2381858 | 6 | 01/26/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Jalil | 3262293 | 1 | 12/14/2015 | Customer Dispute | Denied | $42,364.50 | $0.00 | See FINRA Report |
| Matthew B Luckey | 4207598 | 1 | 09/01/2015 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Payam Homapour | 4708411 | 2 | 08/18/2015 | Customer Dispute | Settled | $21,773.90 | $0.00 | See FINRA Report |
| Jack Roger Feldman | 1253672 | 2 | 07/16/2015 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Teodoro Marqueta Aspillera | 2051506 | 1 | 06/11/2015 | Customer Dispute | Denied | $5,036.62 | $0.00 | See FINRA Report |
| Shui C Pai | 4806091 | 1 | 05/01/2015 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Patrick James McArdle | 2550609 | 1 | 03/23/2015 | Customer Dispute | Denied | $16,296.00 | $0.00 | See FINRA Report |