Tag Archives: Roy Aurelio Gaytan

FINRA Fines Transamerica Broker For Unauthorized Trading

August 17, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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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Transamerica Registered Representative Suspended By FINRA

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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