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 | 04/08/2020 | Customer Dispute | Settled | $654,000.00 | $0.00 | See Allegations |
| Thomas Herbert Bock | 806182 | 10 | 07/28/2018 | Customer Dispute | Settled | $1,647,000.00 | $0.00 | See Allegations |