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