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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Charles Koenning | 1599307 | 3 | 09/24/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Virgilio Villa Barayuga | 2829357 | 2 | 09/16/1999 | Customer Dispute | Closed-No Action | $13,500.00 | $0.00 | See FINRA Report |
| Edward Joseph Mylett | 2430895 | 1 | 08/04/1999 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Gary Charles Farmer | 1968975 | 7 | 04/16/1999 | Customer Dispute | Closed-No Action | $6,449.99 | $0.00 | See FINRA Report |
| Gary Charles Farmer | 1968975 | 7 | 02/22/1999 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Rinico Weldon Sawyer | 1477782 | 4 | 12/11/1998 | Customer Dispute | Denied | $68,000.00 | $0.00 | See FINRA Report |
| Laura Luong | 2669069 | 5 | 11/06/1998 | Customer Dispute | Denied | $5,184.00 | $0.00 | See FINRA Report |
| Mark Allen Winsor | 2124151 | 3 | 07/17/1998 | Customer Dispute | Denied | $5,800.00 | $0.00 | See FINRA Report |
| Weichin Ma | 2438945 | 1 | 06/25/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rudy Lasry | 4530893 | 6 | 05/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |