Articles Posted in Transamerica Financial Advisors

FINRA has barred former Transamerica Financial Advisors broker Deborah Herrmann from the securities industry. Herrmann consented to the sanction and to the entry of findings that she failed to provide documents requested by FINRA during an investigation initiated after receiving a tip. The FINRA findings stated that Herrmann made a…

FINRA has suspended financial advisors Wenru Liang (“Liang”) and Jenny Xinfang Feng (“Feng”) from the securities industry for a six-month period. Neither is currently associated with any FINRA member. FINRA found that Liang and Feng engaged in unethical conduct between April 2017 and August 2020 by designating themselves as beneficiaries…