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Ken Sharon Faces Allegations of Unauthorized Trading

Ken Sharon (CRD #: 1971997), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in an investor dispute, according to his BrokerCheck record, accessed on September 7, 2021. If you have concerns about Ken Sharon’s conduct as a broker, keep reading.

On July 29, 2021, an investor alleged that Ken Sharon executed unauthorized trades. Brokers should always have written authorization from their investors unless they are trading in a discretionary account.

Ken Sharon Background Information

Ken Sharon has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

He is a registered broker in 22 states and is a registered investment adviser in Pennsylvania and Texas.

During his 31 years of experience, Ken Sharon has only registered with Merrill Lynch.

Kurta Law Can Help

If you worked with Ken Sharon and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email info@kurtalawfirm.com.

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