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 |
|---|---|---|---|---|---|---|---|---|
| Richard Morgan | 6845100 | 1 | 08/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 08/21/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sylvester Akpan | 7333085 | 1 | 08/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Payam Homapour | 4708411 | 2 | 08/18/2015 | Customer Dispute | Settled | $21,773.90 | $0.00 | See FINRA Report |
| Clotilde Martinez Bigornia | 3046895 | 1 | 08/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Stuart Naiditch | 1628596 | 1 | 07/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Charles Farmer | 1968975 | 7 | 07/27/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jack Roger Feldman | 1253672 | 2 | 07/16/2015 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Emmanuel Carlo Remigio | 5995049 | 2 | 07/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Keith Paul | 5198124 | 2 | 06/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |