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 |
|---|---|---|---|---|---|---|---|---|
| Claire van Niekerken Fernandez | 1390207 | 2 | 05/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hiep Phuoc Nguyen | 2704211 | 1 | 04/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Wayne Heward | 2881250 | 4 | 04/02/2014 | Customer Dispute | Denied | $23,118.00 | $0.00 | See FINRA Report |
| Beverly Fecundo | 4579083 | 2 | 03/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Margaret Nora Hand | 4628311 | 1 | 03/09/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Shawn McCormack | 4055624 | 3 | 03/07/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles David Kreider | 1065388 | 2 | 02/20/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Charles Koenning | 1599307 | 3 | 01/28/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frederick Douglas Williams | 5841491 | 5 | 01/15/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Florencio Volante | 2995343 | 4 | 11/29/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |