Our Staff has compiled our research into a database of FINRA Broker Disclosures for Transamerica Investors Securities Corporation. 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 |
|---|---|---|---|---|---|---|---|---|
| Lisa E Carter | 5051996 | 1 | 05/15/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Mulholland | 7524130 | 1 | 10/23/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alethea Denise King | 7390034 | 1 | 10/04/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt Preston Lam | 6333971 | 2 | 07/21/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Richard Caldwell | 6584749 | 2 | 02/06/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael John Bailey | 2484463 | 1 | 09/16/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Duane Kumar Thames | 2873461 | 2 | 01/30/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |