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 |
|---|---|---|---|---|---|---|---|---|
| Leora Lynn Mikesell | 7364682 | 1 | 03/19/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Noah Tyler Wright | 7002772 | 2 | 07/22/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terrence Terell Thomas | 7547839 | 6 | 12/21/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terrence Terell Thomas | 7547839 | 6 | 10/29/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Biana Celenia Pinedo | 6518028 | 1 | 09/20/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samina Merchant | 7677007 | 1 | 10/04/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Rios | 6905518 | 1 | 12/12/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Lindley Ross | 6408632 | 2 | 10/28/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Julius Stokes | 6626776 | 1 | 08/20/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terrence Terell Thomas | 7547839 | 6 | 01/16/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |