Transamerica Financial Advisors – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Transamerica Financial Advisors. If you suffered losses investing with Transamerica Financial Advisors, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Transamerica Financial Advisors (CRD# 16164) (SEC# 8-33429)
As of September 12, 2016, Transamerica Financial Advisors’s FINRA BrokerCheck Report contains the following:
16 Regulatory Event Disclosures
0 Civil Event Disclosures
3 Arbitration Disclosures
3 Bond Disclosures
Main Office Location
570 CARILLON PARKWAY
ST. PETERSBURG, FL 33716-1202
Mailing Address
P.O. BOX 9053
CLEARWATER, FL 33758-9053
Business Telephone Number
727-299-1800
Direct Owners and Executive Officers
AUSA HOLDING, LLC – OWNER
AEGON ASSET MANAGEMENT SERVICES, INC. – OWNER
COMMONWEALTH GENERAL CORPORATION – OWNER
CARPENTER, TODD ANDREW (CRD# 3125437) – CHIEF SUPERVISORY OFFICER
CHUANG, GEORGE CHUWANG (CRD# 3162477) – DIRECTOR, PRESIDENT, CEO & CHAIRMAN OF THE BOARD
JOSEPH, JOHN WARREN (CRD# 4494872) – DIRECTOR
MCCAULEY, WILLIAM HUGH (CRD# 5267440) – DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER AND VICE PRESIDENT
MILLER, SETH DAVID (CRD# 5628646) – DIRECTOR
MULLIKIN, BRAD BROOME (CRD# 2770556) – INTERIM CHIEF COMPLIANCE OFFICER
NISHIMURA, SCOTT TOSHIO (CRD# 1890987) – DIRECTOR OF WEALTH MANAGEMENT
ROONEY, TERESA JOAN (CRD# 3200672) – ATTORNEY, ASSISTANT SECRETARY
TRIVERS, DAN SHANE (CRD# 1948553) – CHIEF OPERATIONS OFFICER
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Transamerica Financial Advisors and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
