FINRA, the financial services industry’s self-regulatory organization, reports that Transamerica Financial Advisors, Inc. (TFA) has “agreed to pay approximately $4.4 million in restitution to approximately 2,400 customers for failing to supervise its registered representatives’ recommendations of three different products — variable annuities, mutual funds, and 529 plans.” FINRA also fined TFA an additional $4.4 million,… Read More >>