Our Staff has compiled our research into a database of FINRA Broker Allegations for Thomas Herbert Bock.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Thomas Herbert Bock | 806182 | 10 | 12/15/2020 | Customer Dispute | Pending | $500,000.00 | $0.00 | See Allegations |
| Thomas Herbert Bock | 806182 | 10 | 12/15/2020 | Customer Dispute | Pending | $400,000.00 | $0.00 | See Allegations |
| Thomas Herbert Bock | 806182 | 10 | 04/08/2020 | Customer Dispute | Settled | $654,000.00 | $0.00 | See Allegations |
| Thomas Herbert Bock | 806182 | 10 | 08/01/2019 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Thomas Herbert Bock | 806182 | 10 | 02/05/2019 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| Thomas Herbert Bock | 806182 | 10 | 07/28/2018 | Customer Dispute | Settled | $1,647,000.00 | $0.00 | See Allegations |
| Thomas Herbert Bock | 806182 | 10 | 12/22/2014 | Customer Dispute | Award / Judgment | $3,217,140.00 | $773,527.00 | See Allegations |
| Thomas Herbert Bock | 806182 | 10 | 01/22/2013 | Customer Dispute | Denied | $2,060,880.00 | $0.00 | See Allegations |
| Thomas Herbert Bock | 806182 | 10 | 10/19/2001 | Customer Dispute | Award / Judgment | $350,000.00 | $113,743.00 | See Allegations |