Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Clarke (Clarke), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clarke 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 $6,300,000.00 on July 11, 2023.
Client alleges that recommendations were too risky.