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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Jason Schroeder | 5745768 | 6 | 03/14/2012 | Customer Dispute | Denied | $92,762.70 | $0.00 | See FINRA Report |
| Robert Lindley Ross | 6408632 | 2 | 05/31/2011 | 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 |
| Theodore Douglas Williamson | 1122446 | 5 | 11/10/2009 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Jaime Dionne Richards | 4342905 | 1 | 04/06/2009 | Judgment / Lien | $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 |
| Michael James Dipaolo | 1991688 | 1 | 10/09/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Julius Stokes | 6626776 | 1 | 08/20/2008 | Criminal | Final Disposition | $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 |