Close Menu
Free Consultation: 888-976-6111

Peter Clarke: Rockefeller Advisor Faces $6.3 Million Complaint

Palm Beach Gardens, Florida financial advisor Peter Clarke (CRD# 1400419) recently received an investor complaint alleging his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with Truist Investment Services.

Mr. Clarke’s BrokerCheck report discloses two investor complaints. The most recent, filed in July 2023, alleges that as a representative of Truist Investment Services, he recommended stock investments that were “too risky.” The pending complaint alleges damages of $6.3 million.

An earlier investor complaint, filed in 1997, alleged that as a representative of Wheat First Securities, he breached his fiduciary duty, made misrepresentations of material facts, and recommended unsuitable investments. In 1998 the complaint reached a settlement of $25,800.

According to the Financial Industry Regulatory Authority, Peter Clarke holds 37 years of securities industry experience. Based in Palm Beach Gardens, Florida, he has been a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management since 2021. His registration history includes Truist Investment Services (Palm Beach, Florida; 2021), BB&T Securities (Richmond, Virginia (2013-2021), Scott & Stringfellow (McLean, Virginia; 2009-2013), Wells Fargo Advisors (McLean, Virginia; 1999-2009), and First Union Capital Markets (Charlotte, North Carolina; 1988-1999), and Dean Witter Reynolds (1985-1988). His credentials include the passage of five securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; thte Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He currently holds 36 state licenses. (Information current as of August 20, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Robert Gleason: FINRA Suspends Former Cantella & Company Advisor

    Former Owensboro, Kentucky financial advisor Robert Gleason (CRD# 1415067) was recently suspended in connection with allegations that he recommended unsuitable...

    Read More
  • Jason Kurtz: FINRA Bars Former US Bancorp Advisor

    Former Denver financial advisor Jason Kurtz (CRD# 4958219) has been sanctioned and barred in connection with alleged rule violations. Financial Industry...

    Read More
  • Lodging Fund REIT III Settles SEC Charges

    In August 2023, the real estate investment trust Lodging Fund REIT III’s CEO and advisor paid more than $4 million...

    Read More
  • Kevin Bailey: $500K Complaint Against Charles Schwab Advisor

    Phoenix financial advisor Kevin Bailey (CRD# 1490570) recently received an investor complaint alleging that his conduct resulted in damages of...

    Read More
  • Previous
  • Next