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 |
|---|---|---|---|---|---|---|---|---|
| Crystal Kay Trotter | 5144721 | 1 | 11/06/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randall Scott Childress | 2400623 | 1 | 10/22/2002 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Willie Caldwell | 2097325 | 15 | 09/03/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew David Wellner | 2425852 | 2 | 09/03/2002 | Customer Dispute | Denied | $19,094.80 | $0.00 | See FINRA Report |
| Andrew David Wellner | 2425852 | 2 | 09/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marylou M Ilisastigui | 2731041 | 1 | 09/03/2002 | Customer Dispute | Denied | $16,500.00 | $0.00 | See FINRA Report |
| Matthew Wayne Heward | 2881250 | 4 | 09/03/2002 | Customer Dispute | Denied | $12,565.00 | $0.00 | See FINRA Report |
| Daning Wu | 2776754 | 2 | 08/22/2002 | Customer Dispute | Denied | $52,677.00 | $0.00 | See FINRA Report |
| Timothy A Francis | 2381858 | 6 | 07/10/2002 | Customer Dispute | Settled | $31,320.00 | $0.00 | See FINRA Report |
| Robin Jay Bundy | 1201496 | 6 | 06/07/2002 | Customer Dispute | Denied | $240,565.00 | $0.00 | See FINRA Report |