Brooke Rockey Named as a Control Person in an Investor Dispute
Brooke Rockey (CRD #:4817176), a broker registered with CFD Investments, was named as a control person in an investor dispute, according to her BrokerCheck record, accessed April 12, 2022. She is also an investment advisor registered with Creative Financial Designs.
On February 1, 2022, an investor alleged that Brooke Rockey failed to supervise. She allegedly failed to catch red flags of misconduct when Dana Vietor allegedly engaged in the sale of private investments in companies he had ownership or control of.
The investor is seeking $345,000ーthe case is still pending.
Failure to Supervise
FINRA Rule 3110 requires firms to:
- Maintain a supervisory system reasonably designed to achieve compliance with FINRA rules.
- Designate a registered principal whose job is to carry out supervisory responsibilities.
- Make reasonable efforts to determine that all supervisory personnel are qualified, either by experience or training.
Brooke Rockey has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
She is a registered broker and investment advisor in Indiana.
Besides CFD Investments and Creative Financial Designs, Brooke Rockey has not worked with any other firm.
Kurta Law Can Help
If you have worked with Brooke Rockey and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.