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Warren Rockmacher Has Received Two Regulatory Sanctions


Warren Rockmacher

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 12, 2017 indicate that former Connecticut-based Investacorp broker Warren Rockmacher has been barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rockmacher (CRD# 2005652).

Warren Rockmacher has spent 21 years in the securities industry and was most recently registered with Investacorp in Trumbull, Connecticut. Previous registrations include Chase Investment Services in Westport, Connecticut; Citigroup Global Markets in Norwalk, Connecticut; Banc of America Investment Services in Milford, Connecticut; CCO Investment Services in Dedham, Massachusetts; Sun Life of Canada Distributors in Wellesley Hills, Massachusetts; and Putnam Retail Management Limited Partnership in Boston, Massachusetts. He is currently not registered with any state or firm.

According to his BrokerCheck report, Warren Rockmacher has received three customer complaints, one pending customer complaint, and two regulatory sanctions.

In April 2017 a customer alleged Warren Rockmacher, while employed at Investacorp, recommended an unsuitable partnership interest in Noble Royalty Access Fund 15. The customer is seeking unspecified damages in the pending complaint.

In May 2016 FINRA sanctioned Warren Rockmacher following allegations he failed to respond to FINRA request for information. He was barred from acting as a broker or otherwise associating with firms that sell securities to the public.

In 2016 he was terminated from his position at Investacorp following allegations he he failed “to notify firm regarding outstanding legal matter as required under contract.”

In 2015 a customer alleged he, while employed at Investacorp, made unsuitable trades. The complaint settled in for more than $7,800.

In 2012 a customer alleged he, while employed at Chase Investment Services, made misrepresentations of material facts in connection to an investment in an annuity product. The complaint settled for $16,000.

In 2007 a customer alleger he, while employed at Banc of America Investment Services, committed fraudulent activity that caused funds to be missing. The complaint settled for more than $17,900.

If you or someone you know has complaints regarding Warren Rockmacher, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.