Rockefeller Financial LLC

Broker Thomas Livaccari in Rockefeller Financial LLC Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Livaccari (Livaccari), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Livaccari recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 07, 2023.

Time Frame: March 3rd, 2022 to February 13th, 2023\, \, What were the allegations against the individual? Client alleges he was inappropriately put into investments based on misstated facts and errors that were structurally contrary to his instructions on what was acceptable to place his money.

There are Recent Customer Complaints with Broker Samuel Frankfort in Firm Rockefeller Financial LLC

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Frankfort (Frankfort), previously associated with Rockefeller Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Frankfort recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 08, 2025.

Respondent Frankfort failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Peter Clarke in Rockefeller Financial LLC Firm Has Customer Complaint

August 27, 2025 | by Staff Attorney

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.

Broker Laurence Knowlton in Rockefeller Financial LLC Firm Has Customer Complaint

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurence Knowlton (Knowlton), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knowlton 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 $185,000.00 on August 08, 2023.

Time frame: 2014-2022 Claimant, through counsel, alleges negligence, unsuitability, and misrepresentation in recommending a securities-backed line of credit. Further, Claimant alleges advisor recommended unsuitable investments.

Broker Shay Scruggs in Rockefeller Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shay Scruggs (Scruggs), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scruggs recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

Client alleges poor performance of accounts.

Broker Lisa Kitchin in Rockefeller Financial LLC Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

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

Broker Robert Moon in Rockefeller Financial LLC Firm Has Customer Complaint

February 20, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Moon (Moon), currently associated with Rockefeller Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Moon concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $4,490,000.00 on December 20, 2024.

Client alleges misappropriation of funds, unauthorized trades, and excessive trading.