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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Koo | 2308793 | 2 | 09/18/2000 | Customer Dispute | Denied | $39,729.70 | $0.00 | See FINRA Report |
| Greggory Rae Paschal | 1565882 | 1 | 09/08/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Abha Dwivedi | 6245458 | 1 | 09/01/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nancy T Wu | 2820974 | 1 | 08/22/2000 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Si Ba Hoang | 2490859 | 1 | 08/02/2000 | Customer Dispute | Settled | $10,878.80 | $0.00 | See FINRA Report |
| Bryce Johnson Winkel | 2108104 | 3 | 06/05/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Selwyn Alec Farrell | 2445878 | 1 | 05/19/2000 | Customer Dispute | Closed-No Action | $9,143.09 | $0.00 | See FINRA Report |
| Sara Blatt Collins | 2921061 | 4 | 05/12/2000 | Customer Dispute | Pending | $6,000.00 | $0.00 | See FINRA Report |
| Kha Ba Tran | 2121624 | 1 | 05/11/2000 | Customer Dispute | Settled | $418,000.00 | $0.00 | See FINRA Report |
| David Pham | 2447712 | 5 | 05/09/2000 | Customer Dispute | Closed-No Action | $5,200.00 | $0.00 | See FINRA Report |