Securities Lawyers Blog
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.