Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Mitchell Rock (Rock) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Rock was employed by Ameriprise Financial Services, LLC at the time of the activity. If you have been a victim of Rock’s alleged misconduct our firm may be able to assist you in recovering funds.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,000,000.00 on October 31, 2024.
Claimant alleges that Respondent Rock participated in a private securities transaction without providing written notice to his firm about his role in the sale of shares of Facebank to Claimant on behalf of John Textor, the issuer.