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 |
|---|---|---|---|---|---|---|---|---|
| Marc E. Laborde | 4975479 | 14 | 12/15/2020 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 12/15/2020 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See FINRA Report |
| Marc E. Laborde | 4975479 | 14 | 12/07/2020 | Customer Dispute | Award / Judgment | $749,555.00 | $0.00 | See FINRA Report |
| Marc E. Laborde | 4975479 | 14 | 12/07/2020 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 12/07/2020 | Customer Dispute | Award / Judgment | $749,555.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 12/07/2020 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See FINRA Report |
| Marc E. Laborde | 4975479 | 14 | 11/13/2020 | Customer Dispute | Award / Judgment | $1,775,430.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 11/13/2020 | Customer Dispute | Award / Judgment | $1,775,430.00 | $0.00 | See FINRA Report |
| Laurence Heimburg Knowlton | 1383052 | 1 | 07/27/2009 | Customer Dispute | Award / Judgment | $4,200,000.00 | $2,500.00 | See FINRA Report |
| Dennis Paul Bloom | 2269647 | 1 | 04/17/2002 | Customer Dispute | Award / Judgment | $400,000.00 | $216,249.00 | See FINRA Report |