MICHAEL RANDOLPH HOFFMAN

MICHAEL RANDOLPH HOFFMAN is currently employed as a Broker and/or Investment Adviser at BNP PARIBAS SECURITIES CORP. located at 155 NORTH WACKER DRIVE, SUITE 4450, CHICAGO, IL, 60606.

MICHAEL RANDOLPH HOFFMAN has worked at BNP PARIBAS SECURITIES CORP. since April 28, 2010

Disclosure History

MICHAEL RANDOLPH HOFFMAN has 1 Disclosure Event(s).

Date: July 10, 2000
Category: Criminal
Charges: 1)THREE CHARGES AT ARREST INVOLVING UNDERAGE DRINKING: POSSESSION OF ALCOHOL UNDERAGE, MINOR IN A TAVERN AND POSSESSION OF FALSE IDENTIFICATION; 2)MISDEMEANORS; 3)DID NOT MAKE A PLEA (ENTERED PRETRIAL DIVERSION AND CHARGES WERE DISMISSED); 4)NOT INVESTMENT RELATED. Charge Type: MISDEMEANOR
Disposition: A)DISMISSED/PRETRIAL DIVERSION; B)04/11/2002; C)CHARGES Dismissed SUCESSFULLY COMPLETED DIVERSION PROGRAM; D)N/A; E)DIVERSION PROGRAM FROM 04/11/2001 TO 04/11/2002; F)N/A; G)N/A

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for MICHAEL RANDOLPH HOFFMAN, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.