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 |
|---|---|---|---|---|---|---|---|---|
| Judith Tai Hsiao | 1668443 | 1 | 09/15/2004 | Customer Dispute | Denied | $10,549.80 | $0.00 | See FINRA Report |
| Bruce Alan Bailey | 1368251 | 1 | 09/14/2004 | Customer Dispute | Denied | $7,516.79 | $0.00 | See FINRA Report |
| Melvin Harold Bell | 2528418 | 1 | 08/11/2004 | Customer Dispute | Settled | $336,025.00 | $0.00 | See FINRA Report |
| Jeffrey M Wolfrey | 3276704 | 2 | 07/13/2004 | Customer Dispute | Denied | $33,853.90 | $0.00 | See FINRA Report |
| Marann Man | 2447648 | 2 | 07/12/2004 | Customer Dispute | Denied | $8,750.00 | $0.00 | See FINRA Report |
| Jason Ryan Field | 7623032 | 2 | 06/15/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dawn Aldithmarie Nelson | 3036708 | 2 | 05/13/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jaime Marie Villalovos | 4129115 | 1 | 04/19/2004 | Customer Dispute | Denied | $23,193.50 | $0.00 | See FINRA Report |
| Mark Alan Gaylord | 869950 | 6 | 04/18/2004 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| James Gilbert Mardock | 2250368 | 2 | 04/15/2004 | Customer Dispute | Settled | $43,396.00 | $0.00 | See FINRA Report |