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 |
|---|---|---|---|---|---|---|---|---|
| Robert B Forney | 5102537 | 6 | 09/30/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn Edward Villalovos | 4152968 | 5 | 09/16/2008 | Customer Dispute | Denied | $82,771.40 | $0.00 | See FINRA Report |
| Shawn Edward Villalovos | 4152968 | 5 | 09/16/2008 | Customer Dispute | Denied | $106,982.00 | $0.00 | See FINRA Report |
| Shawn Edward Villalovos | 4152968 | 5 | 09/04/2008 | Customer Dispute | Denied | $30,862.60 | $0.00 | See FINRA Report |
| William Charles Billings | 2220399 | 4 | 08/29/2008 | Customer Dispute | Denied | $9,610.60 | $0.00 | See FINRA Report |
| Barry Charles King | 3128658 | 9 | 08/21/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dale Tadao Mizuno | 2554346 | 1 | 08/08/2008 | Customer Dispute | Settled | $35,876.00 | $0.00 | See FINRA Report |
| Dennis P Tom | 1368134 | 5 | 07/10/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Janet C Booth | 4526658 | 1 | 07/07/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Teresita Dispo Del Rosario | 2551271 | 6 | 07/02/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |