Kenneth Knox is Facing an Alternative Investment Dispute

Kenneth Knox (CRD #: 4430828), a broker registered with Kestra Investment Services, is the subject of an investor dispute. This is according to a disclosure on his BrokerCheck record, accessed on December 7, 2023. Keep reading if you have questions regarding his alleged conduct as a broker. 

On September 13, 2023, an investor alleged that Kenneth Knox did not recognize his e-signature on account documents. The firm denied the dispute, but investors should know that they can still recover losses following a denial. 

Previous Investor Disputes 

There are two other investor disputes on his record. 

According to allegations filed on June 10, 2020, an investor alleged that Kenneth Knox misrepresented unsuitable alternative investments. This dispute was also denied. 

There is another denied dispute from 2005. 

Unsuitable Alternative Investments 

FINRA Rule 2111 defines suitable investments as securities that suit an investor’s financial goals as well as a few other key investor characteristics. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and liquidity needs. Investments that do not take these factors into account may be unsuitable. 

Alternative investments are only suitable for investors who expressly wish to take on significant risk. 

Background Information 

Kenneth Knox has passed the following exams:

• Series 66 Uniform Combined State 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 

He is registered as both a broker and investment adviser in Texas. He is also a registered broker in Arkansas, California, Indiana, and Louisiana. 

During his 22 years of experience, Kenneth Knox has registered with six firms: 

• Kestra Investment Services (CRD #: 42046) 
• Kestra Advisory Services (CRD #: 283330) 
• Woodbury Financial Services (CRD #: 421) 
• 1st Global Advisors (CRD #: 111133)
• 1st Global Capital Corp (CRD #: 30349) 
• Securities Financial Services (CRD #: 15296) 

Kurta Law Can Help 

If you have worked with Kenneth Knox and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.