<![CDATA[TransAmerica Financial Advisors - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/transamerica-financial-advisors/ Wed, 20 Aug 2025 15:41:51 GMT en-us <![CDATA[LICKHAI KHAI QUACH of TransAmerica is BARRED]]> https://www.israelsneuman.com/blog/lickhai-quach-transamerica-barred/ https://www.israelsneuman.com/blog/lickhai-quach-transamerica-barred/ Wed, 09 Aug 2023 19:46:32 GMT Lickhai Quach, Formerly with TransAmerica Financial Advisors, Barred from Securities Industry ROCKVILLE, MARYLAND Have you invested with stockbroker Lickhai Khai Quach in Rockville, Maryland? Israels & Neuman is reviewing claims made against Lickhai Khai Quach. As of August 2023, FINRA’s Disciplinary Database shows that Quach was barred from the securities industry by FINRA. Khai Quach…

]]> Lickhai Quach, Formerly with TransAmerica Financial Advisors, Barred from Securities Industry

ROCKVILLE, MARYLAND Have you invested with stockbroker Lickhai Khai Quach in Rockville, Maryland? Israels & Neuman is reviewing claims made against Lickhai Khai Quach. As of August 2023, FINRA’s Disciplinary Database shows that Quach was barred from the securities industry by FINRA.

Khai Quach was barred because he did not respond to an investigation initiated by FINRA. The investigation started after Quach was fired by TransAmerica for borrowing money from a customer and then not paying it back. He then failed to respond to FINRA’s investigation after his termination.

Lickhai Khai Quach was licensed with TransAmerica Financial Advisors from January 2012 to March 2023. He worked in Rockville, Maryland. He has also been the subject of two customer complaints and two liens.

Our law firm that has represented over 1,000 investors in the past, including numerous investors in Maryland and Virginia.

View Quach, L. BrokerCheck 8.8.23 View Quach, L. FINRA AWC

If you lost money with Lickhai Quach, or TransAmerica Financial Advisors, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[DEBORAH HERRMANN of Transamerica Financial BARRED]]> https://www.israelsneuman.com/blog/deborah-herrmann-transamerica-barred/ https://www.israelsneuman.com/blog/deborah-herrmann-transamerica-barred/ Tue, 05 Oct 2021 18:58:23 GMT WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose…

]]> WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose that she was named as a party in civil litigation. It was alleged that Herrmann sold investment notes without disclosing such to her brokerage firm, Transamerica Financial Advisors.

Deborah Herrmann (formerly Deborah Gniech) was with Transamerica Financial Advisors from February 2018 to April 2021. Herrmann was also previously with Farmers Financial Solutions. She has worked at branch offices in Wheaton, Illinois.

Brokerage firms like Transamerica Financial Advisors have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Illinois. Attorney David Neuman grew up in DuPage County and is licensed to practice law in Illinois. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Transamerica Financial Advisors.

Click here to view D. Herrmann BrokerCheck Report

If you lost money with Deborah Herrmann or Transamerica Financial Advisors, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

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