Articles Tagged with Rockefeller Financial LLC

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.