Soreide Law Group, based in Florida, obtained the following information from FINRA’s website under, “Discipline and Other FINRA Actions, June 2021,” regarding Florida broker:
Frederick Joseph Rock (CRD #2548242, Tampa, Florida)
On April 23, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Frederick Joseph Rock was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for five months.
Without admitting or denying FINRA’s findings, Fred Rock consented to the sanctions and to the entry of findings that he allegedly participated in private securities transactions totaling $409,200 without providing advance written notice to his member firm for these transactions.
FINRA’s findings stated that Frederick Joseph Rock allegedly solicited private placement investments in a start-up company from investors, including firm clients. Rock allegedly participated in these purchases by recommending the investments, helping the investors complete stock purchase agreements and collecting their stock purchase agreements and investment checks to provide to the company. Rock did not receive any compensation for the sales.
The suspension is in effect from May 3, 2021, through October 2, 2021.
(FINRA Case #2019063574801)
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Fred Rock has been in the securities industry for 22 years. He is currently not registered with any firms. Rock has 6 Disclosures on his FINRA CRD report.
Frederick Joseph Rock was registered with 6 firms, the most recent listed below:
07/17/2014 - 08/07/2019 PRUCO SECURITIES - TAMPA, FL
05/16/2006 - 11/01/2013 FIFTH THIRD SECURIITES, INC. - TAMPA, FL
If you’ve experienced financial losses due to the actions or recommendations of the former Pruco Securities of Tampa, Florida, broker, Frederick Joseph Rock, contact the Florida-based Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee and represents our clients nationwide before FINRA.
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