Fred Rock – Broker Fred Rock Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Fred Rock a/k/a Frederick Joseph Rock is a previously licensed financial advisor licensed financial advisor with Pruco Securities LLC. According to FINRA, Fred Rock was fined $5,000 and was suspended from the securities industry for 5 months in April 2021.
According to FINRA Allegations:
Over a four-month period in 2019, Rock participated in private securities transactions totaling $409,200. Rock did not provide advance written notice to Pruco for these transactions as required. As a result, Rock violated FINRA Rules 3280 and 2010.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Fred Rock and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Fred Rock’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Fred Rock and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 4/23/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.