Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Knudsen (Knudsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knudsen 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 $100,000.00 on July 20, 2021.
CUSTOMER ALLEGES UNSUITABLE RECOMMENDATION OF MUNICIPAL BOND. ACTIVITY PERIOD – 12/19/18 TO 1/8/20.