Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurence Knowlton (Knowlton), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knowlton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $185,000.00 on August 08, 2023.
Time frame: 2014-2022 Claimant, through counsel, alleges negligence, unsuitability, and misrepresentation in recommending a securities-backed line of credit. Further, Claimant alleges advisor recommended unsuitable investments.