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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Victor Clinton Calvert | 4617779 | 1 | 02/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Baker Landau | 2204351 | 1 | 01/20/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Edward Low | 2583969 | 1 | 01/08/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter John Clarke | 1400419 | 2 | 08/12/1997 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| John Marshall Duane | 722927 | 4 | 03/18/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John William Sheehan | 1341640 | 2 | 03/04/1996 | Customer Dispute | Award / Judgment | $1,623,000.00 | $3,092.00 | See FINRA Report |
| Mark Joseph Panarese | 1336294 | 1 | 02/15/1995 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Robert Donald Lindell | 7373639 | 1 | 03/24/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |