Violation Tracker Individual Record
Company:Transamerica Financial Advisors
Date:April 3, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
Transamerica Financial Advisors agreed to provide refunds to clients and pay a penalty to settle allegations that it overcharged clients by improperly calculating advisory fees.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:Netherlands
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:insurance
Source of Data:
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