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 |
|---|---|---|---|---|---|---|---|---|
| Norman Lamont Dunbar | 1446196 | 4 | 03/13/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Willie Caldwell | 2097325 | 15 | 03/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Yuchen Tang | 5027786 | 1 | 03/01/2012 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| John Quang Pham | 2372633 | 3 | 02/23/2012 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| John Quang Pham | 2372633 | 3 | 02/23/2012 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Fidel Anthony Castro | 6066573 | 5 | 02/10/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frederick Douglas Williams | 5841491 | 5 | 02/06/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank James Schoen | 3024903 | 17 | 02/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kareem J Sulaiman | 4817638 | 1 | 01/30/2012 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Leslie Efrem Hardley | 2632321 | 3 | 01/23/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |