Roy Aurelio Gaytan of Thousand Oaks California a stockbroker formerly registered with Transamerica Financial Advisors Inc. has been fined $15,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he (1) failed notify the firm about his exercise of discretion […]
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Tag Archives: Roy Aurelio Gaytan
FINRA Fines Transamerica Broker For Unauthorized Trading
August 17, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | 0 Comments
Transamerica Registered Representative Suspended By FINRA
July 16, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Roy Aurelio Gaytan of Thousand Oaks California a former registered representative of Transamerica Financial Advisors has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he did not comply with FINRA’s information request. Case No. 2017054506901 (Nov. 13, 2017). FINRA Public Disclosure confirms that Gaytan […]
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