RICHARD HORACE HOFFMAN

RICHARD HORACE HOFFMAN is currently employed as a Broker and/or Investment Adviser at H. BECK, INC. located at 1811 LESHER MILL ROAD, PALM, PA, 18070.

RICHARD HORACE HOFFMAN has worked at H. BECK, INC. since February 18, 2010

Disclosure History

RICHARD HORACE HOFFMAN has 2 Disclosure Event(s).

Date: January 29, 2010
Category: Employment Separation After Allegations
Firm Name: SECURITIES AMERICA INC.
Termination Type: Discharged
Allegations: FAILURE TO FOLLOW FIRM POLICIES AND PROCEDURES RELATING TO THE SUBMISSION OF BUSINESS.

Date: September 17, 2008
Category: Customer Dispute
Allegations: TRADE ERROR
Damage Amount Requested: $39,865.60
Settlement Amount: $39,865.60

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 RICHARD HORACE HOFFMAN, click here.

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