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Ching Ching Tse Permitted to Resign by TransAmerica Financial

Ching Ching Tse (6441161) was permitted to resign by TransAmerica Financial Advisors. This disclosure appears on her BrokerCheck record, accessed on February 9, 2024. Keep reading if you have questions regarding her alleged conduct. 

Permitted to Resign 

On December 20, 2023, Ching Ching Tse was permitted to resign by TransAmerica Financial Advisors. The firm alleges it received correspondence from an anonymous individual alleging that the representative 1. Was engaged in unapproved outside business activity, 2. Had solicited persons to invest in the unapproved outside business activity, and 3. Had engaged in various concerning sales practices related to her life insurance business. 

Outside Businesses 

The only outside business on her detailed BrokerCheck record is the sales of insurance and non-insurance products for companies affiliated with TransAmerica Financial. 

FINRA Rule 3270 requires brokers to seek approval from their firm before engaging in outside business activities.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unapproved outside business violates this rule. 

Background Information 

Ching Ching Tse has passed the following exams:

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

Kurta Law Can Help 

If you have worked with Ching Ching Tse and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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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