Warren Marc Rockmacher of Trumbull Connecticut a stockbroker formerly registered with Investacorp Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $90,000.00 in damages founded on accusations that misrepresentations had been made by Rockmacher concerning oil and gas limited partnerships that were sold to the customer when Rockmacher was registered with Investacorp. FINRA Arbitration No. 19-03646 (Feb. 13, 2020).
Rockmacher has been identified in nine additional customer initiated investment related disputes regarding allegations of his misconduct during the period that he was associated with Investacorp, Chase Investment Services Corp, Banc of America Investment Services, Citizens Investment Services Corp and Citicorp Investment Services. Rockmacher is the subject of a customer initiated investment related written complaint which was resolved for $17,941.61 in damages based upon accusations that the customer was exposed to fraudulent activities as funds went missing from the customer’s account because of Rockmacher. The complaint also alleges that the customer’s tax liabilities were not handled appropriately by Rockmacher when he was registered with Banc of America.
Another customer filed an investment related complaint concerning Rockmacher’s conduct where the customer requested unspecified damages supported by allegations of misrepresentation by the stockbroker concerning the performance of a mutual fund held in the customer’s Citicorp Investment Services account. Rockmacher is also referenced in a customer initiated investment related complaint in which the customer sought $92,000.00 in damages founded on accusations that the Chase Investment Services Corp customer’s instructions were not followed and that misrepresentations had been made by the stockbroker concerning mutual funds that were sold to the customer.
Rockmacher is additionally the subject of a customer initiated investment related civil action which was settled for $16,000.00 based upon allegations of misrepresentation relating to an annuity purchased through Rockmacher at Chase Investment Services Corp. On November 30, 2015, another customer initiated investment related complaint regarding Rockmacher’s activities was resolved for $7,844.22 in damages supported by accusations of the Investacorp customer being solicited by the stockbroker for unsuitable real estate investment trust and annuity purchases.
The stockbroker is also referenced in a customer initiated investment related complaint on August 12, 2016 where the customer requested $75,000.00 in damages founded on allegations of misrepresentation and poor investment recommendations pertaining to direct investments. A different customer initiated investment related civil action involving Rockmacher’s conduct was settled for $140,000.00 in damages based upon accusations of an unsuitable Noble Royalty Access Fund 15 transaction. Civil Action No. FBT-CV-17-6063898 (Sept. 22, 2017).
Rockmacher has been barred from associating with any FINRA member in any capacity supported by allegations that he neglected to comply with FINRA’s request for information. Rockmacher was initially suspended for non-compliance and was provided with additional time to resolve that suspension. The stockbroker did not seek the termination of the suspension by the deadline.
Rockmacher was discharged by Investacorp founded on accusations that he concealed his involvement in a legal dispute.