JOSHUA HENEHAN KENNEY

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.

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.

To view the full report for JOSHUA HENEHAN KENNEY, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.