Skip Navigation Links

Details

ROCK FINANCIAL GROUP LLC NFA ID: 0351108

Current Status
• NFA ASSOCIATE MEMBER PERMANENT BAR 
• NFA MEMBER PERMANENT BAR 
• PRINCIPAL PERMANENT BAR 
Regulatory Actions
 AgencyNumber
NFA3
CFTC0
Exchanges0
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
details...
 
CFTC Reparations Cases
Total0
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 BAR01/06/2011 
• NFA MEMBER PERMANENT BAR01/06/2011 
• PRINCIPAL PERMANENT BAR01/06/2011 
 
• COMMODITY TRADING ADVISOR REVOKED07/05/2011 
• NFA MEMBER WITHDRAWN01/21/2011 
• NFA MEMBER APPROVED02/17/2005 
• COMMODITY TRADING ADVISOR REGISTERED01/21/2005 
• NFA MEMBER PENDING01/14/2005 
• COMMODITY TRADING ADVISOR PENDING12/16/2004 
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.