FINRA Broker Allegations

Allegations against: John Joseph Kenny

Allegation type: Regulatory

Allegation status: On Appeal

The allegations read: Violations of 1) section 17(a) of securities act section 10b) of exchange act and rule 10b-5 and 2) aided and abetted violations of section 17(a) of the securities act, section 10(b) of the exchange act and rule 10b-5.