Tag Archives: Charles Ernest Kenahan

FINRA Bars Merrill Lynch Stockbroker In Investigation

February 16, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on FINRA Bars Merrill Lynch Stockbroker In Investigation

Charles Ernest Kenahan of Boston Massachusetts a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to cooperate with FINRA investigators regarding his sales practices. Letter of Acceptance Waiver and Consent No. […]

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Merrill Lynch Stockbroker Barred For Unsuitable ETF Trading

December 22, 2020  |   Posted by :   |   Excessive Trading, FINRA Securities Arbitration, Inverse/Leveraged ETF Funds, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Merrill Lynch Stockbroker Barred For Unsuitable ETF Trading

Charles Ernest Kenahan of Boston Massachusetts a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith has been barred by New Hampshire Department of State Bureau of Securities Regulation founded on accusations of Kenahan making unsuitable investment recommendations to a customer of Merrill Lynch. Consent Order No. COM2019-000 (Dec. 7, 2020). According to the Order, […]

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Merrill Lynch Fires Wayward Stockbroker Only After Losing $40 Million Customer Case

Charles Ernest Kenahan of Boston Massachusetts a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated has been discharged by the securities broker dealer on July 9, 2019 supported by accusations that (1) unauthorized trades were executed in a customer’s account by Kenahan (2) investment recommendations made by the stockbroker failed to be suitable […]

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Customer Sues Merrill Lynch For Excessive Trading

Charles Ernest Kenahan of Boston Massachusetts a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated is the subject of a customer initiated investment related arbitration claim in which the customer sought $700,000.00 in damages based upon accusations that stock trades were effected in the customer’s account on an excessive basis and unsuitable equity […]

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