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ROCK FINANCIAL GROUP LLC NFA ID: 0351108 Current Status • NFA ASSOCIATE MEMBER PERMANENT BAR  • NFA MEMBER PERMANENT BAR  • PRINCIPAL PERMANENT BAR  Regulatory Actions  Agency Number NFA 3 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Business Address 5256 CALATRANA DRIVE WOODLAND HILLS, CA  91364 UNITED STATES 818-936-3471 Doing Business As No other names Listed Principals No principals currently listed History  Status Effective Date • NFA ASSOCIATE MEMBER PERMANENT BAR 01/06/2011  • NFA MEMBER PERMANENT BAR 01/06/2011  • PRINCIPAL PERMANENT BAR 01/06/2011    • COMMODITY TRADING ADVISOR REVOKED 07/05/2011  • NFA MEMBER WITHDRAWN 01/21/2011  • NFA MEMBER APPROVED 02/17/2005  • COMMODITY TRADING ADVISOR REGISTERED 01/21/2005  • NFA MEMBER PENDING 01/14/2005  • COMMODITY TRADING ADVISOR PENDING 12/16/2004