Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karleen Halliwell (Halliwell), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Halliwell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on July 21, 2020.
Time frame: 2019-2020\<char_lb_r>\, Claimants’ counsel alleges misrepresentation and negligence with respect to recommendation to invest in a mutual fund presented as a money market alternative.