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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Ronald Covington | 2934603 | 1 | 11/01/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Andrew Jason Schroeder | 5745768 | 6 | 08/05/2013 | Customer Dispute | Settled | $28,786.40 | $0.00 | See FINRA Report |
| Andrew Jason Schroeder | 5745768 | 6 | 08/05/2013 | Customer Dispute | Settled | $36,253.20 | $0.00 | See FINRA Report |
| Andrew Jason Schroeder | 5745768 | 6 | 08/05/2013 | Customer Dispute | Settled | $45,324.90 | $0.00 | See FINRA Report |
| Andrew Jason Schroeder | 5745768 | 6 | 08/05/2013 | Customer Dispute | Settled | $17,361.10 | $0.00 | See FINRA Report |
| Andrew Jason Schroeder | 5745768 | 6 | 03/14/2012 | Customer Dispute | Denied | $92,762.70 | $0.00 | See FINRA Report |
| 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 |