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Curt Knapp is Involved in an Investor Dispute

Curt Knapp (CRD #: 1206432), a broker registered with Kovack Securities, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on June 19, 2024. Details concerning this dispute are provided below. 

Investor Allegations 

On April 18, 2024, an investor alleged that Curt Knapp recommended investments that were inconsistent with the client’s stated objectives and risk tolerances. The dispute was denied, but investors should know that firms can deny disputes without any external review. Investors can still recover losses following a denial. 

Unsuitable Investments 

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and financial goals. Investments that do not take these factors into account may be unsuitable

Background Information 

Curt Knapp has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 79TO Investment Banking Registered Representative Examination 
  • Series 99TO Operations Professional Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination
  • Series 27 Financial and Operations Principal Examination 
  • Series 4 Registered Options Principal Examination 
  • Series 24 General Securities Principal Examination 

He is a registered broker in 13 states and is a registered investment adviser in Florida. 

During his 40 years of experience, Curt Knapp has registered with 13 firms. These are the five most recent: 

  • Securities America Advisors  (CRD #: 110518) 
  • Securities America (CRD #: 10295)
  • Triad Advisors (CRD #: 25803) 
  • Investacorp (CRD #: 7684) 
  • FSC Securities Corporation (CRD #: 7461) 

Kurta Law Can Help 

If you have worked with Curt Knapp and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.