Securities Lawyers Blog
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.\,