DIANE MARIE KNIGHT

DIANE MARIE KNIGHT is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 116 HENSHAW, CHICO, CA, 95973.

DIANE MARIE KNIGHT has worked at LPL FINANCIAL LLC since July 01, 2004

Disclosure History

DIANE MARIE KNIGHT has 2 Disclosure Event(s).

Date: January 26, 2017
Category: Customer Dispute
Allegations: CURRENT TRUSTEE ALLEGED THAT IMPROPER PERSON SIGNED THE DOCUMENTATION.
Damage Amount Requested: $50,000.00

Date: July 05, 2016
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES MISREPRESENTATION CONCERNING REIT INVESTMENT.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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