Brian H. Brandenburg, of Dayton, Ohio, Allegedly Referred Two Customers to an Outside Entity for Investment Purposes; Brandenburg Discharged by Transamerica
Brian Brandenburg, of Dayton, Ohio, was recently discharged by Transamerica after the firm became aware that the Representative had referred two customers to an outside entity for investment purposes, according to an Employment Separation Disclosure filed on December 14, 2018 under review by investor rights attorney Alan Rosca.
Said disclosure was filed by Transamerica Financial Advisors, Inc., FINRA notes.
Brian Brandenburg was registered with Transamerica Financial Advisors, Inc. in Dayton, Ohio from January 6, 2012 until December 14, 2018, and is not currently registered with brokerage firm, FINRA notes.
Investor rights attorney Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Brian Brandenburg allegedly referring two customers to an outside entity for investment purposes. Investors who believe they may have lost money in activity related to Brian Brandenburg allegedly referring two customers to an outside entity for investment purposes are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
Brian Brandenburg Allegedly Made Improper Sales of Unregistered Non-exempt Securities; Damages of $245,000 Requested
Brian Brandenburg allegedly made sales of unregistered non-exempt securities, according to a pending Customer Dispute filed on Brandenburg’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.
The aforementioned dispute was filed on August 29, 2018, FINRA states, and is requesting damages of $245,000.00, FINRA states.
Brandenburg, in sum, is facing 2 Disclosures, and has fifteen years of experience in the securities industry with 2 firms, FINRA notes. Brian Brandenburg also worked with World Group Securities, Inc. in Dayton, Ohio from July 16, 2003 until January 6, 2012, FINRA reports.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.
Securities Lawyer Investigating
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Brian Brandenburg’s alleged referral of two customers to an outside entity for investment purposes. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of Brian Brandenburg’s alleged referral of two customers to an outside entity for investment purposes may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.