Investor Alleges Christopher Knutson Recommended an Unsuitable Investment

Christopher Knutson (CRD #: 2997006), a broker registered with Aegis Capital Corporation, allegedly gave an unsuitable investment recommendation, according to his BrokerCheck record, accessed on September 21, 2025. If you have questions about his alleged conduct as a broker, read on.

Investor Disputes

On June 2, 2025, an investor alleged that Christopher Knutson made an unsuitable investment recommendation. The client seeks $100,000 in this pending dispute.

In a dispute filed on May 17, 2022, an investor alleged that Christopher Knutson engaged in negligent conduct. This dispute was settled for $75,000.

On February 24, 2022, an investor named Christopher Knutson in allegations of fraud, unsuitable investment recommendations, negligence, and the misrepresentation and omission of material facts from April 2020 to January 2021. This dispute was settled for $400,000.

On April 13, 2016, an investor alleged that Christopher Knutson misrepresented a private placement from November 2014 to April 2016. The client received a settlement of $110,000.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must examine the information contained in an investor’s profile, such as their tax status, risk tolerance, age, and investing experience.

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. The misrepresentation or omission of material facts violates this rule.

Background Information

Christopher Knutson has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Securities Agent State Law Examination – Series 63

Christopher Knutson is a registered broker in 50 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

He has also worked for the following firms:

• Global Arena Capital Corporation (CRD#:16871)
• Prestige Financial Center (CRD#:30407)
• S.W. Bach & Company (CRD#:43522)
• Harrison Securities (CRD#:14103)
• Securities & Investment Planning Company (CRD#:36538)
• Gilford Securities (CRD#:8076)
• First Empire Securities (CRD#:15129)
• Burlington Capital Markets (CRD#:26991)
• Dean Witter Reynolds (CRD#:7556)
• Ladenburg, Thalmann & Company (CRD#:505) 
• Gaines, Berland (CRD#:14623)
• Continental Broker-Dealer Corporation (CRD#:14048) 

Kurta Law Can Help

If you worked with Christopher Knutson 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 that 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.