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 |
|---|---|---|---|---|---|---|---|---|
| Robbie Paul Day | 2416459 | 1 | 04/09/2003 | Customer Dispute | Denied | $5,804.87 | $0.00 | See FINRA Report |
| Willie Caldwell | 2097325 | 15 | 04/09/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Oralia Navar-Perales | 3193390 | 3 | 03/03/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Charles Farmer | 1968975 | 7 | 02/04/2003 | Customer Dispute | Denied | $8,352.63 | $0.00 | See FINRA Report |
| Vinh Quan Nguyen | 2401663 | 2 | 01/10/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Linly Kenrol Ramlal | 2959728 | 1 | 12/10/2002 | Customer Dispute | Denied | $17,300.00 | $0.00 | See FINRA Report |
| Randall S Fox | 1706523 | 2 | 12/09/2002 | Customer Dispute | Denied | $13,490.10 | $0.00 | See FINRA Report |
| John C Shin | 2575864 | 5 | 12/06/2002 | Customer Dispute | Denied | $11,500.00 | $0.00 | See FINRA Report |
| Alfonso Sanchez | 4911006 | 1 | 11/12/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher M Janik | 4902195 | 2 | 11/06/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |