TAMPA, FLORIDA
Have you lost money with financial advisor Frederick J. Rock from Tampa, Florida? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Frederick Rock. Rock was being investigated regarding allegations that he sold investments in a start-up waste-to-energy technology company without permission from his former brokerage firm, Pruco Securities. To settle these allegations Rock agreed to a five month suspension and a $5,000 fine.
Frederick Rock was a registered representative and financial advisor with Pruco Securities from July 2014 to August 2019. He worked out of branch offices in Tampa, Florida. Rock has also been affiliated with Crystal Consulting Group, LLC.
Broker-dealers like Pruco Securities have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives. Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations. When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.