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
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.
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 KENNETH JOHN MURPHY, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More