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WARNING! Impending Investigation: JULIUS F. KENNEY and LPL FINANCIAL

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16
Jun

WARNING! Impending Investigation: JULIUS F. KENNEY and LPL FINANCIAL

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Julius F. Kenney IV and LPL Financial

Have you lost money with financial advisor Julius F. Kenney IV of Calhoun, Georgia?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Julius Kenney.  Kenney was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Kenney for allegations that he solicited a customer to invest money in a Mellow Mushroom business, which was not approved by his brokerage firm, LPL Financial.

Julius F. Kenney IV was a financial advisor and registered representative of LPL Financial from September 2013 to June 2015.  He was also affiliated with Dempsey Lord Smith from July 2012 to September 2013.  He worked at a branch office in Calhoun, Georgia.  Kenney is also the subject of a customer complaint regarding an investment in Mellow Mushroom

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies, such as refraining from selling investments and securities that are not approved by the firm.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Georgia.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond Julius, ProEquities, Securities America, National Securities Corp., and many others.

 

If you lost money with Julius Kenney or LPL Financial, please Contact Us at 720-599-3505 for a free evaluation of your case.

 

Click to view:  Kenney FINRA AWC

Click to view:  Kenney BrokerCheck 6.15.15

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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