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 |
|---|---|---|---|---|---|---|---|---|
| Thomas John Muhlfeld | 4682299 | 11 | 10/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Muhlfeld | 4682299 | 11 | 09/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jillease C Hazzard | 4980348 | 1 | 06/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Muhlfeld | 4682299 | 11 | 05/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Muhlfeld | 4682299 | 11 | 04/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Muhlfeld | 4682299 | 11 | 04/16/2021 | Financial | Final | $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 |