William Keeney (CRD #: 3082733), a Massachusetts broker registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, is facing client allegations of unsuitable investment recommendations. The client is alleging over $1.8 million in damages, according to his BrokerCheck record, accessed on November 23, 2020.
On October 19, 2020, a client alleged that William Keeney made unsuitable investment recommendations from December 2015 until February 2020. The client is seeking $1,883,777.87; the dispute is pending.
On December 16, 2015, a client alleged that William Keeney recommended an unsuitable investment recommendation of a tax-managed fund, which he states was contrary to his stated objectives of capital preservation and fixed income. The client sought $25,000, but the dispute was denied by the firm, and never entered into arbitration.
William Keeney has passed the Series 63 Uniform Securities Agent State Law Examination, the Series 65 Uniform Investment Adviser Law Examination, the Securities Industry Essentials Examination, the Series 31 Futures Managed Funds Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in Arizona, California, Colorado, Connecticut, D.C., Florida, Georgia, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, Virginia, and Washington. He is a registered investment advisor in Connecticut and Texas.
During his 22 years in the securities industry, William Keeney has worked at the following firms:
- Banc of America Investment Services, Inc. (CRD #: 16361)
- Quick & Reilly, Inc. (CRD #: 11217)
- Morgan Stanley DW Inc. (CRD #: 7556)
If William Keeney was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for your free case consultation with a securities attorney.