|**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
NOTICE OF MEMBER RESPONSIBILITY ACTION AND ASSOCIATE RESPONSIBILITY ACTION:
On October 5, 2010, NFA issued a Member Responsibility Action ("MRA") against Rock Financial Group LLC ("RFG") and an Associate Responsibility Action ("ARA") against Scott Schaffer ("Schaffer") whereby:
1. RFG and Schaffer are prohibited from soliciting or accepting any funds from customers or investors, soliciting investments for any commodity investment vehicles, or placing any trades on behalf of customers, or investors except liquidation or risk reducing trades in any fund, accounts or investment vehicles over which Schaffer exercises control;
2. RFG and Schaffer are prohibited from disbursing or transferring any funds of customers or investors over which they exercise control, or participants in any such commodity investment vehicles, without prior approval from NFA; and
3. RFG and Schaffer are required to provide copies of this MRA/ARA via overnight courier to all: a) customers; b) all investors of any funds or investment vehicles over which RFG and/or Schaffer exercises control; and c) to all banks, brokerage firms, and other financial institutions in which money is on deposit in the name of RFG or Schaffer or any other entity over which Schaffer exercises control.
This action is effective immediately and is deemed necessary to protect customers and investors of RFG and Schaffer based on the failure of RFG and Schaffer to cooperate with NFA in an examination of RFG, or demonstrate that they are in full compliance with NFA Requirements.
The MRA and ARA will remain in effect until such time as Schaffer and RFG have demonstrated to the satisfaction of NFA that they are in complete compliance with all NFA Requirements.