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FINRA Broker Allegations

Allegations against: Steven Roland Knuttila

Allegation type: Customer Dispute

Allegation status: Closed-No Action

The allegations read: Client is upset that two investments that were purchased in 2014 have lost value. Client alleges he wasn't sure if he understood that there may be no liquidity to the investments that were purchased and the investments currently cannot liquidated.in an additional communication, client acknowledges he has read communications sent from the investments and understands they have no liquidity.

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