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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| 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 |
| 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 |
| Johanna Elyse Mockett | 5281318 | 1 | 03/14/2012 | Customer Dispute | Denied | $8,158.78 | $0.00 | See FINRA Report |