RICHARD FRANCIS KENNY JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, V. Richard Francis Kenny, Jr. (CRD No. 2794050), Respondent. Disciplinary Proceeding No. 20140407790-01 COMPLAINT The Department of Market Regulation alleges: Summary 1. In connection with an investigation being conducted by Market Regulation, Respondent Richard Francis Kenny, Jr. ("Kenny") repeatedly refused to respond to certain requests for information made by Market
06/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, V. RICHARD FRANCIS KENNY, JR. (CRD No. 2794050), Respondent. Disciplinary Proceeding No. 20140407790-01 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION June 5, 2015 Respondent failed to respond completely to requests for information, in violation of FINRA Rules 8210 and 2010. Kenny is barred from associating with any member firm in all capacities for his failures
Reference 2014040779001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2794050 |
Other names1
Also known as1
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