RedFlag, Allegation and/or Complaint against LEOPOLDO ROCA
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
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.
Frequently Asked Questions About LEOPOLDO ROCA
What is LEOPOLDO ROCA's Central Registration Depository (CRD) Number?
Which firm is LEOPOLDO ROCA associated with?
Where is LEOPOLDO ROCA located?
Where can I find more details about LEOPOLDO ROCA's Investment Firm?
Are there any disclosures, allegations or complaints filed against LEOPOLDO ROCA?
Where can I download a detailed FINRA report for LEOPOLDO ROCA?
Is it safe to do business with LEOPOLDO ROCA?
Originally posted on November 17, 2022 @ 8:57 pm