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KENNETH JOHN MURPHY

KENNETH JOHN MURPHY is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 200 PARK AVENUE, 25TH FLOOR, NEW YORK, NY, 10166.

KENNETH JOHN MURPHY has worked at OPPENHEIMER & CO. INC. since January 02, 2002

Disclosure History

KENNETH JOHN MURPHY has 2 Disclosure Event(s).

Date: June 09, 1992
Category: Regulatory
Initiated By: FL DIVISION OF SECURITIES AND INVESTORPROTECTION, *See FAQ #1*
Allegations: ON 6-12-92, THE STATE OF FLORIDA APPROVEDSUBJECT INDIVIDUAL AS AN ASSOCIATED PERSON OF JOSEPHTHAL LYON &ROSS, INC. PURSUANT TO AN AGREEMENT.
Resolution: Consent Sanction Details: THE TERMS OF THE AGREEMENT PROVIDE, BUT ARE NOTLIMITED TO THE FOLLOWING: MURPHY AGREES NOT TO ACT IN ANYPRINCIPAL, SUPERVISORY, OR MANAGERIAL CAPACITY WHILE EMPLOYEDBY JLR. SUCH CONDITIONS WILL REMAIN IN EFFECT THROUGHOUT THEREGISTRATION WITH THIS FIRM OR UNTIL RELIEF IS OTHERWISE SOUGHTAND GRANTED. CONTACT FL AGENT REGISTRATION SECTION FOR FURTHERINFORMATION.
Broker Comment: I AM SUPERVISED BY MR CHARLES RODEN BRANCH MANAGER FOR MY PLACE OF EMPLOYMENT. I OR MY FIRM CAN REQUEST IN WRITING RELIEF OF THE AGREEMENT AT A LATER DATE FROM THE SECURITIES DIVISION OF THE STATE OF FLORIDA. PURSUANT TO A LETTER DATED NOVEMBER 5, 1998, MR. KENNETH MURPHY REQUESTED AND WAS GRANTED A RELIEF FROM THE CONDITIONS IMPOSED ON HIM BY THE STATE OF FLORIDA. PURSUANT TO NEW RULES, PLEASE MOVE THIS INCIDENT TO A "Z" STATUS. THIS IS NO LONGER REPORTABLE.

Date: October 13, 1989
Category: Regulatory
Initiated By: STATE OF CT, DEPT OF BANKING
Allegations: PARTICIPATED AS AN AGENT OF JT MORAN INC., INTHE SELLING OF UNREGISTERED SECURITIES.
Resolution: Consent SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $500.00 Sanction Details: ON JUNE 15, 1990, KENNETH JOHN MURPHY ENTEREDINTO A STIPULATION AGREEMENT WITH THE CT SECURITIES ANDBUSINESS INVESTMENTS DIVISION IN SETTLEMENT OF THE ALLEGATIONSRAISED IN AN NOTICE OF INTENT TO REVOKE REGISTRATION AS ANAGENT AND A NOTICE OF INTENT TO FINE ISSUED ON OCTOBER 13,1989. IN SETTLEMENT, MR MURPHY HAS WITHOUT ADMITTING OR DENYINGANY VIOLATION OF LAW,AGREED TO PAY A $500 FINE AND TO CERTAINRESTRICTIONS ON HIS SOLICITATION AND SALE OF SECURITIES IN CT.
Broker Comment: CONCERNING THE INCIDENT IN ITEM NUMBER EIGHT ABOVE, I WAS PRESENTED WITH A BLUE SKY LIST BY MANAGEMENT OF J.T. MORAN THAT INDICATED THE STOCK IN QUESTION WAS BLUE SKYEDIN THE STATE OF CT., WHEN IN FACT IT WASN'T.

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