TransAmerica Financial Advisors and Ching Tse Internal Investigation

SAN CARLOS, CALIFORNIA     Have you invested with Ching Tse from San Carlos, California?  In December 2023, Ching Tse was “permitted to resign” by TransAmerica Financial Advisors.  According to BrokerCheck, the advisor resigned from TransAmerica while under internal investigation after allegations of engaging in an unauthorized outside business activity and soliciting persons to invest in this unauthorized outside business activity.

Ching Tse held a securities license with TransAmerica Financial Advisors from June 2015 to January 2024 and worked in San Carlos, California.

TransAmerica Financial Advisors is a FINRA member.  Per securities regulations, it is required to have written supervisory and compliance procedures and firms must adequately supervise its advisors.  If the brokerage firm failed to reasonably supervise their investment advisor, it may be liable for customer losses.

Our securities arbitration law firm has represented numerous investors throughout California.  We have sued dozens of brokerage firms in the past, including against TransAmerica Financial Advisors.

View BrokerCheck report here. 

If you lost money with Ching Tse or TransAmerica Financial Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.