Our Staff has compiled our research into a database of FINRA Broker Disclosures for Rockfleet Financial Services, Inc. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| John R Swift | 1759860 | 3 | 04/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John R Swift | 1759860 | 3 | 04/24/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John R Swift | 1759860 | 3 | 07/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |