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 |
|---|---|---|---|---|---|---|---|---|
| John Quang Pham | 2372633 | 3 | 02/23/2012 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Kareem J Sulaiman | 4817638 | 1 | 01/30/2012 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Randall S Fox | 1706523 | 2 | 01/09/2012 | Customer Dispute | Denied | $12,694.70 | $0.00 | See FINRA Report |
| Rinico Weldon Sawyer | 1477782 | 4 | 08/04/2011 | Customer Dispute | Closed-No Action | $5,650.00 | $0.00 | See FINRA Report |
| Robin Jay Bundy | 1201496 | 6 | 08/02/2011 | Customer Dispute | Denied | $285,128.00 | $0.00 | See FINRA Report |
| Kay C H Matsui | 2713670 | 1 | 07/11/2011 | Customer Dispute | Settled | $7,043.12 | $0.00 | See FINRA Report |
| Hau Kim Tran | 2906135 | 3 | 05/24/2011 | Customer Dispute | Denied | $169,146.00 | $0.00 | See FINRA Report |
| Maria Yvonne Tran | 3258744 | 1 | 05/24/2011 | Customer Dispute | Denied | $169,146.00 | $0.00 | See FINRA Report |
| Sidney Craig Sheridan | 2089034 | 4 | 05/19/2011 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Christina N Guevara | 4581817 | 1 | 02/25/2011 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |