Investors have reportedly disputed the sales practices of securities broker Robert Charles Knutson Jr. [CRD: 272788, St. Paul, Minnesota], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Knutson worked for Morgan Stanley from November 8, 2013, to March 22, 2023, and for UBS Financial Services Inc. from April 15, 1988, to November 18, 2013. Keep reading to discover more about Knutson’s disclosures and the client disputes reported to FINRA.
Particularly, a Morgan Stanley client filed FINRA Arbitration No. 23-01943 about Robert Knutson. Mainly, the client alleged that Knutson engaged in excessive trading. For this reason, the client allegedly incurred damages relating to stocks. Consequently, on July 14, 2025, Morgan Stanley settled this matter by paying the client $6,250,000 in damages.
Specifically, a client of UBS Financial Services Inc. contested Robert Knutson’s sales practices by filing FINRA Arbitration No. 06-02482. Allegedly, Knutson churned the client’s account, made unsuitable recommendations, and breached his fiduciary duty. It appears that Knutson caused the client to sustain damages connected to stocks. Therefore, UBS Financial Services Inc. opted to settle the matter on April 30, 2007, by compensating the client in the amount of $1,072,000.
Additionally, a UBS PaineWebber Inc. client filed FINRA Arbitration No. 04-01454 about Robert Knutson. Primarily, the client alleged that Knutson breached his fiduciary duty, made unsuitable recommendations, breached a contract, and churned accounts. Because of this, the investor allegedly sustained damages. As a result, on December 10, 2004, a FINRA Arbitration Panel issued an Award ordering UBS PaineWebber Inc. and Knutson to pay the client $3,343.86 in damages.
Do you have concerns or questions regarding investments you made with Robert Knutson? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee basis and advances all costs. Knutson and brokerage firms Knutson 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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