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 |
|---|---|---|---|---|---|---|---|---|
| Francis Xavier Amsler | 2526813 | 14 | 12/07/2020 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See FINRA Report |
| Marc E Laborde | 4975479 | 14 | 11/19/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 11/19/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 11/19/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marc E Laborde | 4975479 | 14 | 11/13/2020 | Customer Dispute | Award / Judgment | $1,775,430.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 11/13/2020 | Customer Dispute | Award / Judgment | $1,775,430.00 | $0.00 | See FINRA Report |
| Marc E Laborde | 4975479 | 14 | 11/04/2020 | Customer Dispute | Denied | $1,775,430.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 11/04/2020 | Customer Dispute | Denied | $1,775,430.00 | $0.00 | See FINRA Report |
| Elizabeth Ann Tremaglio | 5327651 | 1 | 08/03/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shay W Scruggs | 4173046 | 2 | 07/29/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |