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 |
|---|---|---|---|---|---|---|---|---|
| Randall S Fox | 1706523 | 2 | 01/09/2012 | Customer Dispute | Denied | $12,694.70 | $0.00 | See FINRA Report |
| Drew Chris Labarbera | 1255994 | 2 | 12/28/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jesus Maymi | 2502999 | 6 | 12/20/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barry Charles King | 3128658 | 9 | 12/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michelle P Lee | 2921757 | 4 | 12/12/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barry Charles King | 3128658 | 9 | 11/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Phillip Bising Lin | 2745446 | 2 | 11/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jessica Michelle Dean | 7532293 | 1 | 10/13/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vu Minh Tran | 4713880 | 1 | 09/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas E Drennan | 4615216 | 1 | 08/04/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |