Gary Leonard Ziegler of Madison, Wisconsin, a stockbroker registered with Transamerica Financial Advisors Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $20,000.00 in damages based upon allegations that Ziegler engaged in unsuitable trading when Ziegler was associated with Transamerica Financial Advisors Inc. FINRA Arbitration No. 2202292 (October 1, 2023).
This is not the first time that Ziegler has been referenced in a customer initiated investment related dispute concerning Ziegler’s conduct in the securities industry. FINRA Public Disclosure shows that Ziegler was also referenced in a customer initiated investment related complaint filed on October 20, 2003, in which the customer requested $20,257.00 in damages based upon allegations that Ziegler made misrepresentations of material fact about a variable universal life (VUL) insurance policy during the time that Ziegler was associated with WMA Securities Inc.
Ziegler has been associated with Transamerica Financial Advisors Inc. in Madison, Wisconsin since January 6, 2012.
