Ronald Clagget Knowles, of Lake Charles, Louisiana, a stockbroker formerly registered with The O.N. Equity Sales Company, has been named in a customer initiated investment related written complaint on April 13, 2017, in which the customer requested $17,000.00 in damages based upon allegations that Knowles made misrepresentations to the customer concerning annuity products, effected transactions in the customer’s investment account that were not appropriate, and breached his fiduciary obligations to the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on October 31, 2012, a customer initiated investment related arbitration claim involving Knowles’ conduct was settled for $60,000.00 in damages based upon allegations that he effected variable annuity transactions which were neither consistent with the customer’s needs nor suitable in consideration of the customer’s financial status.
Knowles’ registration with The O.N. Equity Sales Company was terminated on December 31, 2014. Since January 30, 2015, he has been associated with Centaurus Financial, Inc.
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