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 |
|---|---|---|---|---|---|---|---|---|
| Lee-Yin Liu | 4678947 | 1 | 09/19/2012 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Bryan Lee | 2704519 | 1 | 09/13/2012 | Customer Dispute | Denied | $15,131.80 | $0.00 | See FINRA Report |
| Alec Kwok Leung Chan | 2145816 | 2 | 08/30/2012 | Customer Dispute | Denied | $30,064.60 | $0.00 | See FINRA Report |
| John C Shin | 2575864 | 5 | 08/22/2012 | Customer Dispute | Withdrawn | $69,342.50 | $0.00 | See FINRA Report |
| Philip Scott Kingrey | 2718881 | 2 | 08/16/2012 | Customer Dispute | Denied | $10,047.00 | $0.00 | See FINRA Report |
| Philip Scott Kingrey | 2718881 | 2 | 08/16/2012 | Customer Dispute | Denied | $12,085.90 | $0.00 | See FINRA Report |
| John C Shin | 2575864 | 5 | 03/16/2012 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Johanna Elyse Mockett | 5281318 | 1 | 03/14/2012 | Customer Dispute | Denied | $8,158.78 | $0.00 | See FINRA Report |
| Yuchen Tang | 5027786 | 1 | 03/01/2012 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| John Quang Pham | 2372633 | 3 | 02/23/2012 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |