Charles J. Ehnot: A Stock Broker with 30 Prior Customer Disputes and Tax Liens

Charles J. Ehnot, Investors are curious and concerned about the career of a veteran stockbroker who is linked to the prestigious Supreme Alliance LLC. Why? Why? Financial Industry Regulatory Authority.

Unmasking the FINRA

As a governing agency, FINRA regulates stockbrokers. The FINRA’s responsibilities include requiring that these companies disclose customer complaints, disputes and any regulatory penalties. But that’s not all — they must also shed light on certain financial matters around personal bankruptcies, legal judgments, and liens.

The Archives

The past is a strange thing. It always comes back. And in the case Mr. Ehnot it has some intriguing anecdotes. In April of 2017, a L.M. Kohn’s clients brought Ehnot to the forefront, accusing him that he had executed a trade with a security involving real estate without sufficient authority. The matter was resolved, but with a heavy fine of $20,000

Unauthorized Trade: A Jigsaw Puzzle

We’ll explore the maze of illegal trading. Recently settled disputes include: FINRA Case No. 15-1261A customer of L. M. Kohn sought damages in the amount of $160,000 for losses suffered by master limited partnerships within the oil industry. Although the case ended, it cost an astounding $49750.

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Ehnot’s extensive career journey is a great way to spice up the story. He has worked for CV Brokerage Inc. and L. M. Kohn before joining Supreme Alliance in October 2019.

The Shot at Redemption

There’s a silver lining. You may still have hope if Charles J. Ehnot managed your account. How? How?

Rules that Secure Your Security

  • FINRA Rule 3110 & 2090: Brokers and firms have a responsibility to adhere to the FINRA rule on suitability. This rule states that the broker must have a rational belief to support the suitability for a client of any recommendation.
  • FINRA Rule 2111: This rule stresses the importance and obligations of brokers towards their clients.

Investors in the United States can pursue redress and recover losses on their investment due to the negligence and deceitfulness of brokers or stockbrokers. For this purpose, investors should contact an experienced securities attorney.

Final Thoughts

Charles J. Ehnot’s journey opens a world of fascinating nuances and important lessons for the financial industry. It underlines the enormous power — and responsibility — brokers handle, and the importance of diligent investor oversight and legal recourse. So, whether you are an investor now or in the future, it is important to remain informed and aware. And always be ready to raise your glass to their financial knowledge!

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