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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Jeffrey Towner | 2772131 | 1 | 11/19/2002 | Customer Dispute | Closed-No Action | $425,000.00 | $0.00 | See FINRA Report |
| John Bellinger Lewis | 1828788 | 2 | 11/15/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Eric Michael Verhulst | 2414858 | 1 | 09/03/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Church | 2109814 | 1 | 09/03/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John George Uriostegui | 2072448 | 1 | 07/12/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nelson Frederick Faro | 1247444 | 7 | 04/17/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis Paul Bloom | 2269647 | 1 | 04/17/2002 | Customer Dispute | Award / Judgment | $400,000.00 | $216,249.00 | See FINRA Report |
| David Patrick Higgins | 2376949 | 1 | 03/28/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brett Douglas Thelander | 2446984 | 1 | 07/07/1999 | Customer Dispute | Settled | $28,055.80 | $0.00 | See FINRA Report |
| J T Cowles | 2226953 | 1 | 05/27/1999 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |