Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Ratigan (Ratigan), currently associated with Rockefeller Financial LLC / Seabrook Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ratigan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 10, 2025.
Time Frame: November 2021 to December 14, 2024. What were the allegations against the individual – The client’s attorney alleges various misrepresentations. The client’s attorney further alleges that the representative failed to disclose outside business activities within the meaning of FINRA Rules.