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 |
|---|---|---|---|---|---|---|---|---|
| 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 | |
| Darrian Raquel Felsen | 7302285 | 1 | 07/26/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua David Larson | 4132797 | 1 | 07/20/2011 | Customer Dispute | Settled | $8,299.57 | $0.00 | See FINRA Report |
| Aaron Jason Bouldin | 2775412 | 1 | 03/23/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Duane Kumar Thames | 2873461 | 2 | 09/18/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Walter Poff | 5358641 | 1 | 07/01/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Lee Sheets | 5248677 | 8 | 05/03/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Israel | 4571821 | 1 | 02/13/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Duane Kumar Thames | 2873461 | 2 | 01/30/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |