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Dec 15, 2022
Transamerica Broker Guatam Arora Arrested in Southern California on Fraud Charges
Read More
Sep 13, 2021
SEC Cites 9 Brokerage Firms Over 12b-1 Fee Violations That Harmed Customers
Read More
Jan 15, 2021
Transamerica Financial Advisors to Pay $8.8 Million Over Unsuitable Recommendations Charges
Read More
Aug 8, 2018
Former Transamerica Broker Roy Gaytan Sanctioned for Discretionary Trading Violations
Read More
Jun 12, 2018
Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation
Read More
Oct 4, 2016
Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account
Read More
Oct 16, 2015
Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges
Read More
Mar 24, 2015
Artak Daldumyan Fined & Suspended for Unapproved Outside Business Activities
Read More
Jan 8, 2015
FINRA Files Complaint Against Bradley Claus, Alleging Improper Oil and Gas Sales, Falsely Tying a Security to Justin Timberlake
Read More
