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 |
|---|---|---|---|---|---|---|---|---|
| Betzaida Vargas Arroyo | 7861367 | 1 | 07/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Clement Lyle | 2418644 | 5 | 06/14/2018 | Customer Dispute | Denied | $73,594.60 | $0.00 | See FINRA Report |
| Morgana L Jones | 6992074 | 2 | 06/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rashidi Baraka Jones | 5936924 | 3 | 05/24/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rashidi Baraka Jones | 5936924 | 3 | 05/24/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Bryant Stokes | 1932909 | 2 | 05/24/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jacob Saperstein | 7336172 | 1 | 05/09/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elena de Molina | 5696176 | 10 | 04/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Blanca Margarita Eaton | 5858843 | 2 | 03/28/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen James Short | 7162708 | 1 | 03/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |