Finra bars former rep who provided ‘inaccurate auto-loan information’
Cody Rock resigned from State Farm in September.
The Financial Industry Regulatory Authority Inc. has barred former State Farm mutual fund rep Cody Rock for failing to provide information requested in an investigation into his auto loans.
In a letter of acceptance, waiver and consent, Finra said that Mr. Rock was allowed to resign from State Farm on Sept. 1 after which State Farm filed a U5 form saying that it permitted the resignation “due to concerns related to [Mr. Rock] providing inaccurate information on auto loans for himself.”
Mr. Rock, who held a Series 6 license, is no longer employed in the securities industry. He began his career in 2015 at State Farm.
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