Did you incur investment losses with Lori A. Hermanson?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Lori A. Hermanson of TransAmerica Financial related to her alleged conversion of funds for outside business activities.
Hermanson has been barred by FINRA.
Fortunately, for those investors that incurred losses investing with Hermanson may be able to recover those losses through the FINRA arbitration process.
Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of their Broker(s).