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 |
|---|---|---|---|---|---|---|---|---|
| Yuchen Tang | 5027786 | 1 | 03/01/2012 | Customer Dispute | Denied | $9,000.00 | $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 |
| Robin Jay Bundy | 1201496 | 6 | 08/02/2011 | Customer Dispute | Denied | $285,128.00 | $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 |
| Christina N Guevara | 4581817 | 1 | 02/25/2011 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Ronald Edward Groves | 4179684 | 1 | 02/24/2011 | Customer Dispute | Denied | $6,906.61 | $0.00 | See FINRA Report |
| Matthew Wayne Heward | 2881250 | 4 | 02/18/2011 | Customer Dispute | Denied | $7,799.78 | $0.00 | See FINRA Report |
| Hsuan-Hui S Yu | 4713723 | 1 | 09/28/2010 | Customer Dispute | Denied | $5,741.10 | $0.00 | See FINRA Report |