Tag Archives: Frederick Joseph Rock

Pruco Stockbroker Sanctioned By FINRA For Selling Away

May 31, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Pruco Stockbroker Sanctioned By FINRA For Selling Away

Frederick Joseph Rock (also known as Frederick Joseah Rock) a stockbroker formerly registered with Pruco Securities LLC has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Rock engaged in private securities transactions involving customers of Pruco Securities. Letter […]

Read More »