Rockefeller Financial LLC Broker Peter Clarke Faces $6.3 Million Customer Complaint

Rockefeller Financial LLC

Erez Law is currently investigating 37-year industry veteran and Rockefeller Financial LLC broker Peter Clarke (CRD# 1400419), who faces a $6.3 million customer complaint. He has been registered with Rockefeller Financial LLC in Palm Beach Gardens, Florida, since 2021. Previously, he was registered with Truist Advisory Services, Inc. and Truist Investment Services, Inc. in Palm Beach, Florida, from February to November 2021, and with BB&T Securities, LLC in Richmond, Virginia, from 2013 to 2021. 

Peter Clarke Customer Complaints

He has been the subject of two customer complaints between 1997 and 2023, according to his CRD report. The most recent complaint was regarding: 

July 2023. “Client alleges that recommendations were too risky.” The customer is seeking $6,300,000 in damages, and the case is currently pending. The complaint was regarding common and preferred stocks, and it took place while he was registered with Truist Investment Services, Inc.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Rockefeller Financial LLC may be liable for investment or other losses suffered by Peter Clarke’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.