JOSHUA HENEHAN KENNEY is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 19 EAST ELM STREET, GREENWICH, CT, 06830-6518.
JOSHUA HENEHAN KENNEY has worked at CHARLES SCHWAB & CO., INC. since March 04, 2016
Disclosure History
JOSHUA HENEHAN KENNEY has 3 Disclosure Event(s).
Date: December 09, 2008 Category: Customer Dispute Allegations: UNSUITABILITY RELATED TO AUCTIN RATE SECURITIES Damage Amount Requested: $25,000.00
Date: October 10, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT SHE RECEIVED POOR ADVISE REGARDING A PURCHASE OF AUCTION RATE SECURITIES IN JANUARY 2008. Damage Amount Requested: $103,806.11 Broker Comment: I VEHEMENTLY DENY CUSTOMER COMPLAINT AS A FALSE ALLEGATION. E*TRADE HAS INVESTIGATED AND DENIED ANY CLAIM BEING DUE TO CLIENT.
Date: October 13, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT MR. KENNEY PURCHASED A MUNICIPAL BOND FUND TO BONDS, WHICH WAS THE CLIENT ALLEGES SHE THOUGHT SHE PURCHASED. CLIENT ALSO ALLEGES THAT THE PURCHASE WAS UNSUITABLE. NO DAMAGE SPECIFIED. Settlement Amount: $4,250.00 Broker Comment: THIS MATTER WAS SETTLED AS A BUSINESS DECISION TO AVOID THE COSTS AND UNCERTAINTY OF LITIGATION. MR. KENNEY ASSERTS THAT HE INFORMED THE CLIENT THAT SHE WAS PURCHASING A MUNICIPAL BOND FUND AND THAT THE FUND WAS CONSISTENT WITH HER INVESTMENT OBJECTIVE.
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