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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| Marc E Laborde | 4975479 | 14 | 02/05/2021 | Customer Dispute | Settled | $850,000.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 02/05/2021 | Customer Dispute | Settled | $850,000.00 | $0.00 | See FINRA Report |
| Marc E Laborde | 4975479 | 14 | 01/28/2021 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 01/28/2021 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Marc E Laborde | 4975479 | 14 | 01/12/2021 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 01/12/2021 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |