Our Staff has compiled our research into a database of FINRA Broker Disclosures for Transamerica Capital, 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 |
|---|---|---|---|---|---|---|---|---|
| John Matthew Hennessy | 4170059 | 1 | 07/22/2010 | Customer Dispute | Closed-No Action | $11,474.00 | $0.00 | See FINRA Report |
| Theodore Douglas Williamson | 1122446 | 5 | 11/10/2009 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Brian Michael Taylor | 3170103 | 3 | 10/17/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Taylor | 3170103 | 3 | 10/13/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Timothy Leon Ackerman | 2311523 | 1 | 07/23/2002 | Customer Dispute | Closed-No Action | $447,129.00 | $0.00 | See FINRA Report |