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Kenneth Ford Allegedly Failed to Follow Client’s Instructions

Kenneth Ford (CRD #: 2651512), a broker registered with LPL Financial, was involved in a recent dispute, according to his BrokerCheck record, accessed on July 6, 2022. Investors may also have used Kenneth Ford’s services through Warwick Valley Financial Advisors. Read on if you have questions about Kenneth Ford’s conduct as a broker.

Investor Dispute

On March 30, 2022, an investor alleged that, from May 2020 through March 2021, Kenneth Ford failed to follow her instructions to reinstate a $300 monthly cash contribution to her account. This dispute was denied by the firm.

Investors should be aware, however, that firms don’t need to allow an outside review before denying disputes. Investors may be able to recover their losses after a denial by seeking out FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 requires investors to uphold high standards of commercial honor and just and equitable principles of trade. 

Background Information

Kenneth Ford has passed the following exams:

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

Kenneth Ford is a registered broker in 14 states and the District of Columbia. He is also a registered investment adviser in New York.

He has also worked for the following firms:

  • Integra Investment Service (CRD#:125408)
  • Ryan Beck & Company (CRD#:3248)
  • Gruntal & Company (CRD#:372)
  • Tucker Anthony (CRD#:837)
  • Samuel A. Ramirez & Company (CRD#:6963)
  • Ryan, Beck & Company (CRD#:3248)
  • A.S. Goldmen & Company (CRD#:23180)

Kurta Law Can Help

If you worked with Kenneth Ford and you 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 and 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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