Claimant alleges that Representative made misrepresentations relative to the liquidity of a 2014 investment in an oil and gas limited partnership.

$150,000.00

$90,000.00

Approximately three years after electing to purchase a partnership interest in Noble Royalty Access Fund 15, customer now claims that the investment was unsuitable at the time of sale in 2014.

$140,000.00

MISREPRESENTATION AND UNSUITABLE RECOMMENDATIONS

$75,000.00

FINRA

Respondent Rockmacher failed to respond to FINRA request for information.

Letter

Bar (Permanent)

All Capacities

Indefinite

8/29/2016

Pursuant to FINRA Rule 9552(h) and in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated May 26, 2016 and June 20, 2016, respectively, on August 29, 2016, Rockmacher is barred from association with any FINRA member in any capacity. Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity.

FINRA

Respondent Rockmacher failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Letter

Suspension

Any capacity

n/a

5/12/2016

Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554, Respondent Rockmacher is suspended on May 12, 2016 for failure to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

INVESTACORP, INC.

Discharged

FAILURE TO NOTIFY FIRM REGARDING OUTSTANDING LEGAL MATTER AS REQUIRED UNDER CONTRACT.

POA ALLEGES TRADES SOLICITED TO HER AUNT (ACCOUNT HOLDER) TO PURCHASE A REIT AND AN ANNUITY WERE UNSUITABLE.

$6,500.00

$7,844.22

CLIENT ALLEGES, THROUGH ATTORNEY, MISREPRESENATATION REGARDING UNSPECIFIED ANNUITY INVESTMENT.

$61,000.00

$16,000.00

MY SOLE INVOLVEMENT WITH THIS CASE INVOLVED A MEETING WITH THE CLIENT IN WHICH HE REQUESTED AND SIGNED SYMETRA PAPERWORK TO "FREE-LOOK" HIS FIXED ANNUITY CONTRACT. I FORWARDED THE PAPERWORK TO THE INSURANCE CARRIER FOR PROCESSING. TO MY KNOWLEDGE, THE CLIENT, RECEIVED HIS FUNDS AND PLACED THEM WITH ANOTHER INSTITUTION WHICH WAS GOING TO PROVIDE HIM WITH A BETTER INTEREST RATE THAN THE SYMETRA ANNUITY PRODUCT.

CLIENT ALLEGES MISREPRESENTATION AND FAILURE TO FOLLOW INSTRUCTIONS. ACTIVITY DATES 07/23/2008- 07/23/2008

$92,000.00

CLIENT ALLEGES THAT WHILE ACCOUNT WAS AT CIS, FA MISREPRESENTED PERFORMANCE OF INVESTMENT - 12/11/2006-6/1/2007. DAMAGES UNSPECIFIED.

CLAIM DENIED.

CUSTOMER ALLEGES "FRAUDULENT BEHAVIOR" IN CONNECTION WITH MR. ROCKMACHER'S INVOLVEMENT IN AN AUGUST 22, 2006 TRANSACTION THAT RESULTED IN MISSING FUNDS OF $10,000. CUSTOMER ALSO ALLEGES THAT MR. ROCKMACHER DID NOT PAY TAXES ON HER ANNUITY.

$17,941.61

$17,941.61

CLIENT ALLEGED THE PRODUCT WAS MISREPRESENTED BY THE REPRESENTATIVE AS BEING A BOND.

$7,000.00

CLIENT ALLEGES CONTINGENT DEFERRED SALES CHARGES WERE NOT DISCLOSED.

$9,893.00