Jeff Knox Allegedly Recommended Unsuitable Investment

Jeff Knox (CRD #: 5374115), a broker registered with Jackson National Life Distributors, was recently the subject of an investor dispute, according to his BrokerCheck record, accessed on December 27, 2022. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

In a dispute filed on October 26, 2022, an investor alleged that Jeff Knox made misrepresentations and recommended an unsuitable investment. This dispute was denied by the firm.

Investors should know, however, that firms can deny disputes without an external review. Investors may be able to recover their funds by pursuing FINRA arbitration after a denial.

FINRA Rule 2020

The misrepresentation of information related to investments violates FINRA Rule 2020, which bans the use of manipulative, deceptive, and otherwise fraudulent tactics to influence the purchase and sale of securities.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to recommend securities that sufficiently suit an investor’s financial goals. Brokers must use the client’s tax status, risk tolerance, and other information described in the investor’s profile when recommending investments.

Investors who rely on brokers for investment recommendations can potentially recover their losses by seeking out FINRA arbitration.

Bankruptcy

On November 2, 2018, Jeff Knox filed for bankruptcy.

Background Information

Jeff Knox has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Jeff Knox is a registered broker in Tennessee.

He has also worked for the following firms:

• Cetera Investment Advisers (CRD#:105644)
• Cetera Investment Services (CRD#:15340)
• BB&T Securities (CRD#:142785)
• BB&T Investment Services (CRD#:33856)
• LPL Financial (CRD#:6413)
• Valic Financial Advisors (CRD#:42803)
• MetLife Securities (CRD#:14251)
• SunTrust Investment Services (CRD#:17499)

Kurta Law Can Help

If you worked with Jeff Knox and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.