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 |
|---|---|---|---|---|---|---|---|---|
| Steven Christopher Ruta | 5941110 | 1 | 03/19/2014 | 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 |
| Nicholas Ryan Stoltz | 5083770 | 1 | 11/18/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leighann Lagana | 7692730 | 2 | 09/05/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Max Arnoux | 3024235 | 2 | 11/09/2010 | Judgment / Lien | $0.00 | $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 |
| Jaime Dionne Richards | 4342905 | 1 | 04/06/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael James Dipaolo | 1991688 | 1 | 10/09/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter C Carlson | 1737778 | 1 | 07/03/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Zadaysha Lee Downing | 7860157 | 1 | 07/29/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |