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 |
|---|---|---|---|---|---|---|---|---|
| Racquel Roxann Ramlal-Slawinski | 3165650 | 2 | 01/11/2002 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Thu Huong Jenny Dao | 2530387 | 1 | 01/07/2002 | Customer Dispute | Denied | $33,547.60 | $0.00 | See FINRA Report |
| John Paul Jones | 2392980 | 1 | 12/30/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sally Anne Lee | 6090831 | 2 | 12/08/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tan Huy Nguyen | 2569234 | 3 | 11/19/2001 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Daning Wu | 2776754 | 2 | 11/12/2001 | Customer Dispute | Denied | $57,500.00 | $0.00 | See FINRA Report |
| John Quang Pham | 2372633 | 3 | 10/08/2001 | Customer Dispute | Closed-No Action | $135,972.00 | $0.00 | See FINRA Report |
| William David Cottrell | 2229732 | 1 | 09/24/2001 | Customer Dispute | Denied | $48,893.50 | $0.00 | See FINRA Report |
| Robin Jay Bundy | 1201496 | 6 | 09/19/2001 | Customer Dispute | Settled | $212,136.00 | $0.00 | See FINRA Report |
| William Charles Billings | 2220399 | 4 | 09/17/2001 | Customer Dispute | Denied | $19,500.00 | $0.00 | See FINRA Report |