According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woo (Woo), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Woo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on February 07, 2024.
Claimant alleges representative failed to assist client, her deceased spouse, with making premium payments and avoid lapse of coverage.