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 |
|---|---|---|---|---|---|---|---|---|
| Jeremiah Schalk | 6904933 | 1 | 04/13/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 03/01/2001 | Customer Dispute | Pending | $62,000.00 | $0.00 | See FINRA Report |
| Robert Frederick Pearson | 2142858 | 3 | 01/31/2001 | Customer Dispute | Denied | $12,249.90 | $0.00 | See FINRA Report |
| Nicholas Allen Lancaster | 5915773 | 2 | 01/27/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John C Shin | 2575864 | 5 | 11/14/2000 | Customer Dispute | Pending | $16,500.00 | $0.00 | See FINRA Report |
| Laura Luong | 2669069 | 5 | 11/13/2000 | Customer Dispute | Withdrawn | $7,500.00 | $0.00 | See FINRA Report |
| Garth Lincoln Driggs | 1311977 | 1 | 10/27/2000 | Customer Dispute | Withdrawn | $6,000.00 | $0.00 | See FINRA Report |
| Bobby Allen Gaston | 1708187 | 2 | 10/27/2000 | Customer Dispute | Settled | $20,550.00 | $0.00 | See FINRA Report |
| Mariano Cinardi | 3125426 | 1 | 10/09/2000 | Customer Dispute | Settled | $24,666.70 | $0.00 | See FINRA Report |
| Marcella Marie Blochowiak | 2319151 | 5 | 10/06/2000 | Customer Dispute | Denied | $48,863.80 | $0.00 | See FINRA Report |