Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Kitchin (Kitchin), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kitchin 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 February 07, 2024.
Customer alleges unsuitable recommendation regarding managed account account activity dates 03.14.23 to 05.01.2023