Chris Jon Knabe (CRD #2933470) Has 4 Judgment/Lien Disclosures on FINRA BrokerCheck

Chris Jon Knabe (CRD #2933470) is a broker with 4 judgment/lien disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 11, 2026. It reflects 4 judgment/lien disclosures. If you invested with Chris Knabe and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Judgment / Lien

Chris Knabe’s FINRA BrokerCheck Report reflects 4 judgment/lien disclosures. A summary of 2 disclosures appears below. There are 2 additional judgment/lien disclosures listed on BrokerCheck.

On February 2, 2026, Chris Knabe’s FINRA BrokerCheck report listed a civil judgment/lien for $1,968.19. BrokerCheck lists Barclays Bank Delaware as the holder, states the matter was filed in Denton County, Texas, and says it remains outstanding. The disclosure also includes a broker statement that the amount is $1,968.19, plus taxable costs.

On January 6, 2025, Chris Knabe’s FINRA BrokerCheck report listed a civil judgment/lien for $3,257.86. BrokerCheck lists Citibank, N.A. as the holder and states the matter remains outstanding. The disclosure also lists Denton County, Texas, as the court location.

Rule Summary #1: FINRA Rule 4530 (Reporting Requirements)

FINRA Rule 4530 requires member firms to report certain events and complaints to FINRA. Financial events and other reportable matters can raise compliance concerns when firms review a registered representative’s disclosures.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain a supervisory system that is reasonably designed to achieve compliance. That supervisory duty can include reviewing red flags and monitoring disclosure-related issues tied to associated persons.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Chris Knabe:

Is currently registered with MWA Financial Services, Inc.

Has passed the Securities Industry Essentials (SIE) exam. Chris Knabe has passed Series 7. He has also passed Series 66.

Was previously registered with firms that include Cuso Financial Services, L.P. and LPL Financial LLC.

Kurta Law Can Help

If you have worked with Chris Knabe and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What Is Securities Fraud?

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.