LEOPOLDO ROCA at STATE FARM VP MANAGEMENT CORP. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 3002962
LEOPOLDO ROCA is an Investment Adviser, associated with STATE FARM VP MANAGEMENT CORP. located at Palm Springs, FL. LEOPOLDO ROCA’s Central Registration Depository (CRD) number is 3002962 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for LEOPOLDO ROCA

    • Event Date: 3/20/2008
    • Disclosure Type: Regulatory
    • Disclosure Resolution: Final
    • Initiated By: FLORIDA DEPARTMENT OF FINANCIAL SERVICES
    • Allegations: I WAS SHORT 4 CE HOURS BY THE 10/31/07 DEADLINE.
    • Resolution: Consent
    • Sanction Details :: Sanctions: Monetary/Fine
    • Sanction Details :: Amount: $250.00
    • Sanction Details: 250.00 PAID 3-24-2008
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Should I file a FINRA complaint against brokers like LEOPOLDO ROCA?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by LEOPOLDO ROCA’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About LEOPOLDO ROCA

What is LEOPOLDO ROCA's Central Registration Depository (CRD) Number?

3002962

Which firm is LEOPOLDO ROCA associated with?

STATE FARM VP MANAGEMENT CORP.

Where is LEOPOLDO ROCA located?

4163 S Congress Ave, Palm Springs, FL, 33461-4703

Where can I find more details about LEOPOLDO ROCA's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/43036 to read a detailed report for STATE FARM VP MANAGEMENT CORP.

Are there any disclosures, allegations or complaints filed against LEOPOLDO ROCA?

Yes. There are disclosures, allegations, or complaints filed against LEOPOLDO ROCA. Click here to view all details

Where can I download a detailed FINRA report for LEOPOLDO ROCA?

Click here to download a detailed FINRA report for LEOPOLDO ROCA

Is it safe to do business with LEOPOLDO ROCA?

We’re not sure. Please research LEOPOLDO ROCA’s disclosures, allegations and complaints before taking a decision

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Originally posted on November 17, 2022 @ 8:57 pm

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