Dunmore, Pennsylvania broker Charles Ehnot (CRD 872769) agreed to a two-month FINRA suspension and a fine in an AWC dated August 18, 2026. According to FINRA, he willfully failed to timely amend his Form U4. The missing items were an unsatisfied tax lien and an unsatisfied judgment. Ehnot consented without admitting or denying the findings.
His BrokerCheck report also lists settled customer disputes that date back to 2005.
The AWC puts the unsatisfied tax lien at approximately $37,400. The judgment came to approximately $14,800. FINRA found that Ehnot knew about both filings against him, yet he did not amend his Form U4 within 30 days.
Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Brokers have to keep it current, because regulators and investors rely on it. Unpaid liens and judgments are among the financial events it asks about.
On BrokerCheck, the regulatory event carries FINRA case number 2025086836101 and names Supreme Alliance as the firm for Charles Ehnot.
The most recent customer dispute dates to March 27, 2017. A client alleged that Charles Ehnot acted without authorization at L.M. Kohn. The client sought $20,000, and the dispute settled on April 5, 2017 for $20,000.
An earlier arbitration, docket number 15-01261, began on June 9, 2015. BrokerCheck ties that case to L.M. Kohn and lists alleged damages of $160,000. It settled on June 2, 2016 for $49,750.
In a claim received August 5, 2006, a customer of Midsouth Capital alleged fraud, misrepresentation and breach of fiduciary duty. The customer claimed losses of $40,000. Charles Ehnot's record shows that dispute settled on May 31, 2007 for $32,500.
Days earlier, on July 31, 2006, a Pennsylvania resident filed a complaint involving Wells Fargo Advisors. The customer alleged unsuitable, unauthorized and excessive trading from 1998 through 2004, along with a failure to supervise. That claim sought $100,000 plus fees and costs. It settled on February 7, 2007 for $45,000.
The oldest complaint came from Pennsylvania residents on February 11, 2005. They alleged unauthorized and excessive trading in their joint account from January 1998 through April 2002. Their complaint also cited unauthorized use of margin, unsuitable purchases and a failure to supervise. They sought $90,000, and the matter settled on September 29, 2005 for $18,500.
FINRA fined Charles Ehnot $5,000 and suspended him from association with any FINRA member in all capacities for two months. The suspension runs from September 8, 2026, through November 7, 2026.
Churning means trading an account too often, mainly to earn commissions for the broker. It can happen when the customer approves each trade, not only when the broker trades on discretion. FINRA treats excessive trading as a suitability problem. Since June 2020, Regulation Best Interest also bars a series of recommended trades that is excessive for a retail customer. Two numbers usually frame these claims. The turnover rate shows how many times the account's value traded in a year. The cost-to-equity ratio shows what the account had to earn just to cover its trading costs. When we review a churning claim, we start with those two numbers and the monthly statements.
Every FINRA member firm must supervise its brokers. Investors with questions about an account Charles Ehnot handled can call Soreide Law Group at (888) 760-6552. You can also reach us online. Our attorneys represent investors in FINRA arbitration nationwide. We take these cases on a contingency fee basis. You can read more about how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 21, 2026. Allegations in customer complaints and arbitrations are claims, not findings. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.
Dunmore, Pennsylvania broker Charles Ehnot (CRD 872769) agreed to a two-month FINRA suspension and a fine in an AWC dated August 18, 2026. According to FINRA, he willfully failed to timely amend his Form U4. The missing items were an unsatisfied tax lien and an unsatisfied judgment. Ehnot consented without admitting or denying the findings.
A customer arbitration over investments bought in 2014 appears on Randall Mason's BrokerCheck report, and it ended in an award. Mason (CRD 1758777) denied the customer's unsuitability allegations in a statement on BrokerCheck. A second customer raised similar allegations in an earlier claim, which settled. Both disputes name Parkland Securities as the firm.
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