Investors have reportedly disputed the sales practices of securities broker Laurence Heimburg Knowlton [CRD: 1383052, Rye Beach, New Hampshire], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Laurence Knowlton worked for Rockefeller Financial LLC beginning May 14, 2021, and Rockefeller Capital Management beginning November 12, 2021. Keep reading to find out more about disclosures involving Laurence Knowlton.
Also, a UBS Financial Services Inc. client filed FINRA Arbitration No. 23-02168 about Laurence Knowlton. Primarily, the client alleged that Knowlton made unsuitable recommendations, was negligent, and made misrepresentations involving a securities-backed line of credit. For this reason, the client allegedly suffered damages on stocks. Consequently, on January 11, 2024, UBS Financial Services Inc. settled this matter by paying the client $70,000.
Particularly, a client of UBS Financial Services Inc. contested Laurence Knowlton’s sales practices by filing FINRA Arbitration No. 10-05715. Allegedly, Knowlton breached a contract, breached his fiduciary duty, was negligent, and violated state laws. It appears that Knowlton allegedly caused the client to sustain damages on real estate securities. Therefore, FINRA Arbitrators issued an Award dated July 9, 2012 compelling Knowlton to compensate the client.
Are you concerned about investments you made through Laurence Knowlton? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for individuals throughout the country. Also, our securities lawyers handle cases on a contingency fee arrangement and advance all costs. Knowlton and brokerage firms Knowlton worked for deny allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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