Tag Archives: Teresita Santos

Transamerica Broker Barred In FINRA Investigation

January 03, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Teresita Santos of Cerritos California a broker formerly employed by Transamerica Financial Advisors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that she failed to cooperate with an inquiry from FINRA in regard to her activities in the securities industry. Case No. 2016051967801 […]

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