Our Staff has compiled our research into a database of FINRA Broker Disclosures for . 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 |
|---|---|---|---|---|---|---|---|---|
| Aaron Michael Hoffman | 6865274 | 1 | 04/13/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terrence Edward Rocks | 6569562 | 4 | 10/28/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terrence Edward Rocks | 6569562 | 4 | 03/26/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terrence Edward Rocks | 6569562 | 4 | 09/08/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |