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 |
|---|---|---|---|---|---|---|---|---|
| Michael P Wallace | 4367907 | 2 | 04/17/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alexandra Lebenthal | 1638099 | 2 | 11/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Lahoud | 4254835 | 2 | 08/17/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alexandra Lebenthal | 1638099 | 2 | 06/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Benjamin Maxwell | 4888380 | 1 | 05/22/2017 | Customer Dispute | Denied | $40,099.10 | $0.00 | See FINRA Report |
| John Lahoud | 4254835 | 2 | 05/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Clement Sprout | 5389704 | 1 | 04/25/2017 | Financial | Final | $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 |
| Santo Rossario Famulare | 2922359 | 1 | 08/19/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jack Steven Mutchnik | 6494351 | 1 | 07/24/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |