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 |
|---|---|---|---|---|---|---|---|---|
| Michael Alan Hewitt | 7502954 | 2 | 10/09/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Weston James Osborn | 6133690 | 1 | 06/28/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Halean Henry | 7034422 | 4 | 01/16/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Halean Henry | 7034422 | 4 | 01/14/2003 | Criminal | Final Disposition | $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 |
| Vincent James Ticehurst | 7580160 | 2 | 03/19/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shantoria Nicole Williams | 7484003 | 4 | 10/08/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bekim Azizi | 5592366 | 3 | 01/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Theodore Douglas Williamson | 1122446 | 5 | 12/01/1997 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Theodore Douglas Williamson | 1122446 | 5 | 09/28/1994 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |