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January 15, 2021
Transamerica Financial Advisors to Pay $8.8 Million Over Unsuitable Recommendations Charges
August 08, 2018
Former Transamerica Broker Roy Gaytan Sanctioned for Discretionary Trading Violations
December 15, 2022
Transamerica Broker Guatam Arora Arrested in Southern California on Fraud Charges
September 14, 2021
SEC Cites 9 Brokerage Firms Over 12b-1 Fee Violations That Harmed Customers
June 12, 2018
Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation
October 04, 2016
Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account
October 16, 2015
Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges
March 24, 2015
Artak Daldumyan Fined & Suspended for Unapproved Outside Business Activities
