Transamerica Financial Advisors Inc. Securities Attorney

The attorneys of Gana LLP represent clients in securities and investment claims against their brokers and brokerage firms, such as Transamerica Financial Advisors Inc. (Transamerica). Securities related misconduct includes many different types of brokerage and business activities ranging from unsuitable investment advice to Ponzi schemes, securities fraud, and excessive trading. Our firm’s attorneys can investigate your accounts and claims to uncover evidence of misconduct on behalf of the brokerage firm caused your investment losses.

Transamerica is part of the World Financial Group (WFG) a financial services marketing organization based in Georgia. The company markets investment, insurance, and various other financial products in the United States and Canada. WFG is a wholly owned subsidiary of Aegon. World Financial Group has over 3,500 offices in the United States.

Transamerica is affiliated with, under common control, or otherwise performs business under the company names IDEX Distributors, Inc., InterSecurities, Inc., and Pioneer Western Distributors, Inc.

Transamerica – By the Numbers:
  • CRD# 16164
  • SEC# 8-33429
  • 14 Regulatory Events
  • 2 Customer Complaints
  • Revenue: $232 million - 2012
  • Representatives: 4,545
Transamerica – In the News:

In the matter of World Group Securities, Inc., et al. (S-20735A-10-0130) - World Group Securities, Inc. (WGS) and a WGS supervisory were fined by the Arizona Corporation Commission concerning allegations that WGS’ supervisory failures and deficiencies in connection with the unauthorized sale of private securities transactions - selling away - by former brokers of WGS, including two former Arizona branch office managers. The Arizona order requires WGS to undertake certain remedial measures to ensure that its registered brokers do not engage in unauthorized sales of unregistered securities, pay restitution in the amount of $828,501, and pay administrative penalties of $25,000.

FINRA v. InterSecurities, Inc., AWC No. 2007008935008 – According to FINRA, at least five InterSecurities, Inc. brokers recommended that customers participate in a "Stock to Cash" program where customers would pledge stock to obtain loans. The loans were in some instances used to purchase other products including fixed or indexed annuities. FINRA found that firm allowed its registered representatives to recommend the program to customers but then failed to supervise their activities. FINRA found that the firm failed to require adequate due diligence concerning the operations of the entity that conducted the Stock to Cash program and ensure that the representations made by the loan program promoters were accurate.

Gana LLP has represented hundreds of customers in investment related disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.

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