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 |
|---|---|---|---|---|---|---|---|---|
| Rinico Weldon Sawyer | 1477782 | 4 | 08/04/2011 | Customer Dispute | Closed-No Action | $5,650.00 | $0.00 | See FINRA Report |
| Robin Jay Bundy | 1201496 | 6 | 08/02/2011 | Customer Dispute | Denied | $285,128.00 | $0.00 | See FINRA Report |
| Kay C H Matsui | 2713670 | 1 | 07/11/2011 | Customer Dispute | Settled | $7,043.12 | $0.00 | See FINRA Report |
| Yolinda Pirote Bengco | 2885408 | 1 | 07/11/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thu Quang Dang | 2847268 | 1 | 06/30/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Willie Caldwell | 2097325 | 15 | 06/09/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Alan Gaylord | 869950 | 6 | 05/25/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hau Kim Tran | 2906135 | 3 | 05/24/2011 | Customer Dispute | Denied | $169,146.00 | $0.00 | See FINRA Report |
| Maria Yvonne Tran | 3258744 | 1 | 05/24/2011 | Customer Dispute | Denied | $169,146.00 | $0.00 | See FINRA Report |
| Sidney Craig Sheridan | 2089034 | 4 | 05/19/2011 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |