FINRA bars Cody Michael Rock (CRD #6443924, Highlands Ranch, Colorado)
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FINRA Rule 2010 – the “catch all” provision for broker misconduct
What is FINRA Rule 2010? FINRA Rule 2010 is a broad, sweeping rule that is utilized to address misconduct that is not directly addressed by another FINRA rule. The rule is centered around the use of ethical business practices by brokers and financial institutions....
read moreMarch 26, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Rock was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Rock consented to the sanction and to the entry of findings that he refused to provide FINRA-requested documents and information in connection with an investigation into the circumstances surrounding his separation from his member firm. (FINRA Case #2017055673401). If you or someone you know has lost money investing with Cody Rock, call the experienced attorneys at Epperson & Greenidge at 877-445-9261 for a free consultation. You may be eligible to recoup your losses. Epperson & Greenidge accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-445-9261 now to speak to an attorney for free.