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 |
|---|---|---|---|---|---|---|---|---|
| Donald Stewart Braun | 3256589 | 1 | 03/23/2021 | Customer Dispute | Settled | $7,507.60 | $0.00 | See FINRA Report |
| Lu Ling Li | 4997371 | 1 | 12/04/2020 | Customer Dispute | Settled | $54,500.00 | $0.00 | See FINRA Report |
| Feng Luo | 5508192 | 1 | 10/23/2020 | Customer Dispute | Settled | $472,800.00 | $0.00 | See FINRA Report |
| Tyrone A Chaplin | 4276472 | 2 | 02/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Clement Lyle | 2418644 | 5 | 01/15/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joshua Williamson | 5405183 | 1 | 12/06/2017 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| John Angel Rosado | 2621630 | 3 | 03/22/2017 | Customer Dispute | Settled | $41,186.00 | $0.00 | See FINRA Report |
| John Angel Rosado | 2621630 | 3 | 01/13/2017 | Customer Dispute | Settled | $7,343.91 | $0.00 | See FINRA Report |
| John C Shin | 2575864 | 5 | 01/12/2017 | Customer Dispute | Settled | $19,715.00 | $0.00 | See FINRA Report |
| Zheng Qu | 5301314 | 2 | 05/11/2016 | Customer Dispute | Settled | $98,230.50 | $0.00 | See FINRA Report |