Kenneth David Kohn (CRD #1575332) Has Customer Dispute Disclosures on FINRA BrokerCheck

Kenneth David Kohn (CRD #1575332) is a broker with customer dispute disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 29, 2026. It reflects three customer disputes. If you invested with Kenneth Kohn and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Kenneth Kohn’s FINRA BrokerCheck Report reflects three customer dispute disclosures. Summaries of two disputes are below. One additional customer dispute remains in the report.

On March 4, 2026, a customer alleged unsuitability and misrepresentation in connection with REITs purchased in 2017 and 2019. The customer sought at least $5,000 in damages. Kenneth Kohn’s FINRA BrokerCheck Report lists the product as a real estate security. The complaint remains pending.

On March 13, 2019, a customer made a suitability claim about a variable life policy. The policy was sold in 2013. Kenneth Kohn’s FINRA BrokerCheck Report lists the product as insurance. Axa Advisors, LLC denied the claim on June 5, 2019. The firm found no basis for the complaint.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis for a recommendation. A broker should match the product to the customer’s profile, including risk tolerance and liquidity needs. REITs and insurance products may raise suitability concerns when the customer says the product did not fit.

Rule Summary #2: FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices)

FINRA Rule 2020 bars brokers and firms from using manipulative, deceptive, or fraudulent devices in securities transactions. Misrepresentation claims may raise questions about whether material facts were explained with enough care.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Kenneth Kohn:

Is currently registered with Equitable Advisors, LLC.

Has passed the Securities Industry Essentials (SIE) exam. Kenneth Kohn has passed Series 7. He has also passed Series 65 and Series 63.

Was previously registered with firms that include Mony Securities Corporation, Trusted Securities Advisors Corp., and Uslife Equity Sales Corp.

Kurta Law Can Help

If you worked with Kenneth Kohn and have concerns, Kurta Law may help you review your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unsuitable Investments | Securities Attorney

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. A broker or firm may have mishandled your account. An attorney can review the facts and explain possible next steps.