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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Taylor Barden | 4323859 | 1 | 07/09/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Robert Farr | 5991848 | 1 | 01/25/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shay W Scruggs | 4173046 | 2 | 12/19/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Laurence Heimburg Knowlton | 1383052 | 2 | 08/08/2023 | Customer Dispute | Settled | $185,000.00 | $0.00 | See FINRA Report |
| Peter John Clarke | 1400419 | 2 | 07/11/2023 | Customer Dispute | Pending | $6,300,000.00 | $0.00 | See FINRA Report |
| John Bellinger Lewis | 1828788 | 2 | 05/10/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brett Allen Howell | 4157822 | 1 | 01/05/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| 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 | Settled | $0.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 07/21/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |