| ROCK FINANCIAL GROUP LLC |
NFA 10BCC00042 |
NFA ID: 0351108 |
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| 0351108 | ROCK FINANCIAL GROUP LLC | 01/06/2011 | | 0331694 | SCHAFFER, SCOTT | 01/06/2011 |
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| 0351108 | ROCK FINANCIAL GROUP LLC | • C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS | | | | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | 0331694 | SCHAFFER, SCOTT | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA |
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| 0351108 | ROCK FINANCIAL GROUP LLC | • BUSINESS CONDUCT COMMITTEE | | 0331694 | SCHAFFER, SCOTT | • BUSINESS CONDUCT COMMITTEE |
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| 0351108 | ROCK FINANCIAL GROUP LLC | • GENERAL CONDUCT | | | | • SALES PRACTICE | | 0331694 | SCHAFFER, SCOTT | • GENERAL CONDUCT |
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| 0351108 | ROCK FINANCIAL GROUP LLC | • PERMANENT BAR FROM NFA MEMBERSHIP | 12/22/2010 | | | | • WITHDRAW FROM MEMBERSHIP | 12/22/2010 | | | | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 12/22/2010 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 12/22/2010 | | 0331694 | SCHAFFER, SCOTT | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 12/22/2010 | | | | • PERMANENT BAR FROM NFA MEMBERSHIP | 12/22/2010 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 12/22/2010 | | | | • WITHDRAW FROM NFA ASSOCIATE MEMBERSHIP | 12/22/2010 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On December 22, 2010, NFA issued a Complaint charging RFG and Schaffer with failure to cooperate promptly and fully with NFA during the course of its examination and investigation of RFG. The Complaint also charged RFG with using a deficient disclosure document.
DECISION:
On December 22, 2010, pursuant to a settlement offer submitted by RFG and Schaffer, RFG and Schaffer were ordered to withdraw from NFA membership and associate membership, respectively, within 30 days of the date of the Decision, and, thereafter, they are permanently barred from NFA membership, associate membership and principal status with any NFA Member. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On December 22, 2010, NFA issued a Complaint charging RFG and Schaffer with failure to cooperate promptly and fully with NFA during the course of its examination and investigation of RFG. The Complaint also charged RFG with using a deficient disclosure document.
DECISION:
On December 22, 2010, pursuant to a settlement offer submitted by RFG and Schaffer, RFG and Schaffer were ordered to withdraw from NFA membership and associate membership, respectively, within 30 days of the date of the Decision, and, thereafter, they are permanently barred from NFA membership, associate membership and principal status with any NFA Member. | | |
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