Tag Archives: Tracy Neal Wengert

Transamerica Stockbroker Fined $1.5 Million For Unauthorized Trading

Tracy Neal Wengert of Mesa Arizona a stockbroker formerly registered with Transamerica Financial Advisors Inc. is referenced in an Order issued by the Arizona Corporation Commission which revoked Wengert’s securities registration and mandated Wengert pay a $25,000.00 fine and $1,522,400.00 in restitution based upon findings including Wengert’s trading of securities in customers’ accounts without written […]

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Transamerica Financial Advisors Stockbroker Barred In Investigation

Tracy Neal Wengert from Mesa, Arizona, a stockbroker with Transamerica Financial Advisors, Inc., was permanently barred from association with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he had failed to comply with FINRA’s investigation into allegations against Wengert, including that he opened brokerage accounts outside of his […]

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