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 |
|---|---|---|---|---|---|---|---|---|
| John Lahoud | 4254835 | 2 | 08/17/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Lahoud | 4254835 | 2 | 05/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ann R Wang | 4768787 | 3 | 02/03/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew William Willis | 6338629 | 1 | 11/06/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Tramontano | 2801113 | 4 | 01/09/2013 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| John William Sheehan | 1341640 | 2 | 02/08/2012 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Arthur Goodall Alexander | 2696 | 1 | 08/26/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Hunter Harvey | 2390593 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gehret Davis Shemeld | 702482 | 1 | 10/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew T Langhorst | 4190295 | 1 | 07/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |