Our Staff has compiled our research into a database of FINRA Broker Disclosures for Rockefeller Financial LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
---|---|---|---|---|---|---|---|---|
Sean Kennedy | 5755114 | 1 | 08/19/2022 | Customer Dispute | Pending | $1,900,000.00 | $0.00 | See FINRA Report |
Marc E. Laborde | 4975479 | 14 | 07/21/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
Francis Xavier Amsler | 2526813 | 14 | 07/21/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
Rebecca Danielle Hallman | 6484650 | 1 | 07/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Matthew T Langhorst | 4190295 | 2 | 07/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Cheryl Lynn Young | 3065471 | 4 | 05/03/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
John Winthrop Claghorn | 47204 | 1 | 04/27/2022 | Customer Dispute | Denied | $112,583.00 | $0.00 | See FINRA Report |
Michael E Zweig | 2049723 | 2 | 10/16/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Thomas John Muhlfeld | 4682299 | 11 | 10/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Thomas John Muhlfeld | 4682299 | 11 | 10/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |