Articles Tagged with Rockefeller Financial LLC

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on March 16, 2026.

Customer alleges representative recommended certain alternatives investments that were not consistent with customer’s investment profile.

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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 pending customer complaint with a damage request of $1,000,000.00 on March 16, 2026.

Customer alleges representative recommended certain alternatives investments that were not consistent with customer’s investment profile.

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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.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen White (White), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that White 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 1st, 2019 to October 11th, 2021\, \, What were the allegations against the individual \\u2013 The client\\u2019s attorney alleges financial advisor did not act in the client\\u2019s best interest,  unsuitable recommendations and made various misrepresentations. The client\\u2019s attorney further alleges that the financial advisor failed to disclose outside business activities within the meeting of FINRA Rules.\,

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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.

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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.

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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.

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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.

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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.

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