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Regina Frias Terminated by TransAmerica Following Allegations

Regina Frias (CRD #: 2748727), a broker registered with Vanderbilt Securities, was fired by TransAmerica Financial Advisors. This is according to her BrokerCheck record, accessed on June 5, 2024. Details concerning the dispute are provided below. 

Employment Separation After Allegations 

On May 2, 2024, TransAmerica Financial Advisors fired Regina Frias following allegations that she failed to follow the firm’s trade review process. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to follow a firm’s trade review process may violate this rule. 

Background Information 

Regina Frias has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 26 Investment Company Products/Variable Contracts Principal Examination

She is a registered investment adviser and broker in California. She is also a registered broker in New York. 

During her 27 years of experience, Regina Frias has registered with six firms: 

  • Vanderbilt Securities (CRD #: 5953) 
  • Vanderbilt Advisory Services (CRD #: 116537) 
  • TransAmerica Financial Advisors (CRD #: 16164) 
  • Investment Advisors International (CRD #: 139233) 
  • World Group Securities (CRD #: 114473) 
  • WMA Securities (CRD #: 32625) 

Kurta Law Can Help 

If you have worked with Regina Frias and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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