DID LAURENCE HEIMBURG KNOWLTON CAUSE YOU INVESTMENT LOSSES?

Laurence Knowlton Of Rockefeller Financial LLC And Formerly With UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Laurence Knowlton of Rockefeller Financial LLC?

Laurence Knowlton (CRD #1383052) who is currently registered as a broker and investment adviser with Rockefeller Financial LLC and located in New York New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Rockefeller Financial LLC, Laurence Knowlton was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Laurence Knowlton Customer Complaints

Laurence Knowlton has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint evolved into a FINRA arbitration proceeding in an arbitration award against UBS Financial Services and Laurence Knowlton. The other customer complaint filed against UBS Financial Services for Lawrence Knowlton’s alleged misconduct is currently pending in FINRA’s arbitration forum.

Allegations Against Laurence Knowlton

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

• Negligence, unsuitability, and misrepresentation related to the recommendation of a securities-back line of credit.
• Unsuitable investment recommendations.
• Breach of fiduciary duty, negligence, and violations of Massachusetts law.

Laurence Knowlton Red Flags & Your Rights As An Investor

Of course, Laurence Knowlton did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Laurence Knowlton at Rockefeller Financial LLC and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Laurence Knowltonhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Financial LLC and UBS Financial Services Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Rockefeller Financial LLC Due To Laurence Knowlton

If you have questions about Rockefeller Financial LLC, UBS Financial Services Inc. and/or Laurence Knowlton and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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