Investment Advisory Services
Bell Rock Capital, LLCAbout
This business has 1 alert
Important information
- Pending Government Action:Government Action: BBB reports on known government actions involving business’ marketplace conduct:Securities and Exchange Commission v. Marguerite Cassandra Toroian and Bell Rock Capital, LLC, No. 22-civ-715
2/25/2022: The Securities and Exchange Commission filed charges against Rehoboth Beach, Delaware-based Bell Rock Capital, LLC, and its principal, M. Cassandra Toroian, for operating a multi-year cherry-picking scheme that defrauded Bell Rock clients.
The SEC's complaint, filed in the United States District Court for the Eastern District of Pennsylvania, charges Bell Rock and Toroian with violating the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, Section 17(a) of the Securities Act of 1933, and Sections 206(1), 206(2) of the Investment Advisers Act of 1940. It also charges Bell Rock with failing to adopt and implement adequate compliance policies in violation of Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder and charges Toroian with aiding and abetting those violations. The full action can be found here: https://www.sec.gov/litigation/complaints/2022/comp25335.pdf
Bell Rock Capital Statement:
"The firm categorically denies that Ms. Toroian committed any violation of law or regulation and intend to vigorously dispute any allegations of wrongdoing. The allegations date back to 2011-2015. Bell Rock continues to do business as usual."
About This Business
Bell Rock Capital is an investment management firm providing specific services including:
- No minimum Wealth Management
- 401k Employer Plan Management
- Automated Investing
- Customized Investment Portfolios
- Fiduciary Services
- Trust Services
- Investment Advisement
Business Details
- Local BBB:
- BBB Serving Delaware
- BBB File Opened:
- 10/1/2002
- Business Started:
- 1/1/2006
- Business Started Locally:
- 1/6/2009
- Business Incorporated:
- 1/6/2009
- Type of Entity:
- Limited Liability Company (LLC)
- Business Management:
- Ms. Cassandra Toroian, President and CIO
Additional Contact Information
- Principal Contacts
- Ms. Cassandra Toroian, President and CIO
- Customer Contacts
- Ms. Cassandra Toroian, President and CIO
- Fax numbers
- Primary Fax: (302) 227-7609
Licensing information
This business is in an industry that may require professional licensing, bonding or registration. BBB encourages you to check with the appropriate agency to be certain any requirements are currently being met.
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