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Chad Kennedy Allegedly Omitted Information Regarding an Annuity

Chad Kennedy (CRD #: 2845177), a broker registered with Osaic Wealth, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on November 16, 2023. Keep reading if you have questions regarding his alleged conduct as a broker. 

On October 19, 2023, an investor alleged Chad Kennedy failed to disclose material information related to an annuity purchase. 

FINRA Rule 2020 – Misrepresentation

FINRA Rule 2020 prohibits the misrepresentation of investments and omission of material facts. Material facts include information about an investment’s potential returns, as well as charges, expenses and fees. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misrepresentation also violates this rule. 

Background Information 

Chad Kennedy has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in nine states. 

Chad Kennedy has registered with the following firms during his 26 years in the industry: 

  • Osaic Wealth (CRD #: 23131) 
  • Signator Investors (CRD #: 468) 
  • John Hancock Mutual Life Insurance Company (CRD #: 5181) 

Kurta Law Can Help

If you worked with Chad Kennedy and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.

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