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Recent Posts in Transamerica Financial Advisors Category

Former Transamerica Broker Roy Gaytan Sanctioned for Discretionary Trading Violations

FINRA fined and suspended former Transamerica Financial Advisors (Thousand Oaks, CA) rep Roy Aurelio Gaytan for discretionary trading violations that took place in 2016 and 2017 in which he allegedly ...
Continue reading "Former Transamerica Broker Roy Gaytan Sanctioned for Discretionary Trading Violations" »

Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation

After former Transamerica Financial Advisors (Covina, California) broker Atiq Urrehman Khan (aka Danial Khan) of Gardena, CA allegedly solicited firm customers to purchase "general securities ...
Continue reading "Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation" »

Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account

FINRA fined and suspended Betty Lai Johnson aka Hung Fang Lai Johnson, formerly of Transamerica Financial Advisors, for impersonating a customer and effecting or causing an unauthorized liquidation of ...
Continue reading "Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account" »

Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges

FINRA sanctioned six broker-dealers a combined $740,900—which includes fines and restitution—for failing to apply discounts to eligible customer purchases of non-traded real estate ...
Continue reading "Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges" »

Artak Daldumyan Fined & Suspended for Unapproved Outside Business Activities

A FINRA Office of Hearing Officers order suspended former Transamerica Financial Advisors, Inc. broker Artak Daldumyan of Glendale, California for engaging in multiple outside business activities ...
Continue reading "Artak Daldumyan Fined & Suspended for Unapproved Outside Business Activities" »

FINRA Files Complaint Against Bradley Claus, Alleging Improper Oil and Gas Sales, Falsely Tying a Security to Justin Timberlake

FINRA's Department of Enforcement filed a complaint against former Transamerica Financial Advisors broker Bradley Claus, alleging that from September 2010 through April 2013, Claus participated in ...
Continue reading "FINRA Files Complaint Against Bradley Claus, Alleging Improper Oil and Gas Sales, Falsely Tying a Security to Justin Timberlake" »
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