Regulatory Actions

ROCK FINANCIAL GROUP LLC NFA ID: 0351108

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm. Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.

Contributor Case # Action Type Effective Date Case Outcome NFA 11REG00005 • NFA REGISTRATION ACTION 07/05/2011 • REGISTRATION REVOKED NFA 10MRA00006 • NFA GENERAL DISCIPLINARY ACTION 10/05/2010 NFA 10BCC00042 • SALES PRACTICE • GENERAL CONDUCT 01/06/2011 • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP • PERMANENT BAR FROM PRINCIPAL STATUS • PERMANENT BAR FROM NFA MEMBERSHIP • WITHDRAW FROM MEMBERSHIP