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 |
|---|---|---|---|---|---|---|---|---|
| Junwei Liu | 3111230 | 1 | 11/19/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barbara Chie Leon | 5781160 | 1 | 10/21/2014 | Customer Dispute | Denied | $9,077.87 | $0.00 | See FINRA Report |
| Ying Zhu | 4828650 | 1 | 10/21/2014 | Customer Dispute | Denied | $9,077.87 | $0.00 | See FINRA Report |
| Payam Homapour | 4708411 | 2 | 08/12/2014 | Customer Dispute | Denied | $21,773.90 | $0.00 | See FINRA Report |
| Bryce Johnson Winkel | 2108104 | 3 | 05/19/2014 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Matthew Wayne Heward | 2881250 | 4 | 04/02/2014 | Customer Dispute | Denied | $23,118.00 | $0.00 | See FINRA Report |
| Manuel Humberto Guerra | 2585721 | 3 | 11/26/2013 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Michael Robert Neumann | 2250354 | 1 | 10/30/2013 | Customer Dispute | Denied | $82,000.00 | $0.00 | See FINRA Report |
| Timothy Wayne Wooten | 2868659 | 1 | 10/30/2013 | Customer Dispute | Denied | $82,000.00 | $0.00 | See FINRA Report |
| Alvin Wayne King | 5334281 | 1 | 05/01/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |