Tag Archives: Transamerica Financial Advisors

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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Transamerica Financial Advisors Sued For Misrepresentation

July 29, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

William Dean Byrd, of Tampa, Florida, a stockbroker formerly registered with Transamerica Financial Advisors, Inc., is the subject of a customer initiated investment related arbitration claim, which settled on January 19, 2017, for $100,000.00 in damages based upon allegations that Byrd made misrepresentations to the customer concerning mutual fund investments and effected transactions in the […]

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Transamerica Financial Advisors Named In FINRA Securities Arbitration

William Dean Byrd, of Tampa, Florida, a stockbroker formerly registered with Transamerica Financial Advisors, Inc., was named in a customer initiated investment related arbitration claim on June 2, 2016, which settled for $42,500.00 in damages based upon allegations that Byrd breached his fiduciary obligations to the customer, made misrepresentations concerning investments, and made investment recommendations […]

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TransAmerica Financial Stockbroker Barred for Stealing and Outside Business Activities

Lori A. Hermanson of Greenwood Village, Colorado, a registered representative with TransAmerica Financial Advisors, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that Hermanson had converted funds and engaged in unauthorized outside business activities. Letter of Acceptance, Waiver and Consent, No. 2015047979601 (Dec. […]

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Transamerica Securities Broker Barred for Outside Business Activities

Bradley Claus of Greenwood Village, CO, a former securities broker with Transamerica Financial Advisors, Inc., was permanently barred from association with any FINRA-registered firm in all capacities after FINRA found that Claus had made material misrepresentations via his securities sales efforts, along with participating in private securities transactions not approved by his former firm, in […]

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