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 |
|---|---|---|---|---|---|---|---|---|
| Rashid A Bokhari | 1679170 | 2 | 02/17/2023 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Shawn Paris Patrick | 1419385 | 3 | 01/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rudy Lasry | 4530893 | 6 | 01/21/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Yuemei Ding | 5421937 | 1 | 07/24/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hong Jie Yang | 4826556 | 1 | 07/25/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ramon Limjoco Cunamay | 2592616 | 1 | 12/22/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Payne | 6291622 | 1 | 08/16/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Maitland Kingsley | 1744429 | 1 | 01/09/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Frenczak | 4581697 | 3 | 03/29/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Michel Gerard Leuregans | 5183994 | 1 | 09/12/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |