Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Rockefeller Financial LLC, to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Rockefeller Financial is a dually registered broker-dealer and investment adviser that provides brokerage, investment management, wrap fee programs and financial planning to ultra-high net worth and high net worth individuals, families, family offices, trusts, endowments, foundations and businesses. Organized in Delaware in 2017, the firm is a subsidiary of Rockefeller Capital Management and serves clients from offices in New York and across the United States.
Rockefeller Financial LLC – By the Numbers:
- CRD #: 291361
- Regulatory Events: 1
- Broker Employees: 1,128
Rockefeller Financial LLC – Investment Advisors:
- SEC #: 114033
- Assets Under Management: $99,603,487,232
- ADV Form Employee: 1,005
Rockefeller Financial LLC – In the News:
FINRA v. Rockefeller Financial LLC (Case #2021071489101) – From June 2020 to August 2021, Rockefeller Financial LLC failed to disclose certain mark-up and mark-down information on retail customer confirmations for 793 municipal securities transactions in violation of Municipal Securities Rulemaking Board (MSRB) Rule G-15. During the same period, the firm failed to disclose certain mark-up and mark-down information on retail customer confirmations for 344 corporate or agency debt securities transactions in violation of FINRA Rules 2232 and 2010. Additionally, from at least June 2020 to September 2021, the firm failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with the disclosure requirements of MSRB Rule G-15 and FINRA Rule 2232 in violation of MSRB Rule G-27 and FINRA Rules 3110 and 2010.
Gana Weinstein LLP represents investors nationwide, including customers of Rockefeller Financial LLC, in FINRA arbitration claims to recover investment losses caused by unsuitable investments, failure to supervise, and other broker misconduct. Our consultations are free and there is no obligation.