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Deceased Client’s Counsel Seeks $1.9 Million in Dispute with Sean Kennedy

Nov 29, 2022 Misappropriation

Sean Kennedy (CRD #: 5755114), a broker registered with Rockefeller Financial, has been named in a pending dispute, according to his BrokerCheck record, accessed on November 16, 2022. Investors may also have engaged his services through Rockefeller Capital Management. If you want to know more about his conduct as a broker, read on.

Investor Dispute

In a dispute filed on August 19, 2022, a deceased client’s counsel named UBS Financial Services, Sean Kennedy, and other brokers in allegations that they allowed a wrongful transfer of title to the client’s investment accounts between 2017-2019, resulting in misappropriation following the client’s passing.

The client’s counsel seeks $1.9 million in this pending dispute.

FINRA Rule 2150

FINRA Rule 2150 forbids the misuse of investors’ funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Sean Kennedy has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 10 – General Securities Sales Supervisor – General Module Examination
  • Series 9 – General Securities Sales Supervisor – Options Module Examination

Sean Kennedy is a registered broker in 32 states and the District of Columbia. He is also a registered investment adviser in New Jersey, New York, and Texas.

He also worked for UBS Financial Services (CRD#:8174).

Kurta Law Can Help

If you worked with Sean Kennedy and you have concerns about your investments, please contact us today at 877-600-0098 or 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.