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 | 12/17/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rudy Lasry | 4530893 | 6 | 10/23/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ellen Robin Brandt | 2300662 | 1 | 08/15/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Paris Patrick | 1419385 | 3 | 07/05/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Yitskhaq Bar Abraham | 6776018 | 1 | 12/20/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Peter Boudouris | 2050302 | 1 | 08/11/1995 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Sylvester Brown | 860475 | 1 | 07/01/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jamshid Seleh | 7039624 | 1 | 05/22/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marann Man | 2447648 | 2 | 02/15/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Luis Young Kim | 4366228 | 1 | 08/04/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |