Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Jonathan A Kuhn

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Claimant was offered employee stock options from her former employer in 2014. She reached out to allegheny on 2/24/2014 to request that we act as the broker/dealer in executing the stock options transaction. Claimant further requested that the cash proceeds from the transaction be directed to her personal bank account. Claimant alleged that the shares were sold without disclosure of material facts.

Back