MATTHEW DONALD KERBY (CRD#: 5381195)
was barred by FINRA on January 16, 2018. Without admitting or denying the findings, MATTHEW DONALD KERBY consented to the sanction and to the entry of findings that he refused to provide FINRA requested information and documents related to its investigation into the allegations that he converted his elderly client's funds.
FINRA has barred MATTHEW DONALD KERBY from acting as a broker or otherwise associating with a broker-dealer firm.
According to FINRA’s BrokerCheck, on 11/9/17, MATTHEW DONALD KERBY was discharged from Edward Jones following allegations of, “misuse of client funds for his own benefit.” KERBY was in the securities industry for 10 years and was listed with 1 firm:
08/30/2007 - 11/21/2017 EDWARD JONES - PAOLI, IN
If you or an elderly family member were clients of MATTHEW DONALD KERBY, formerly of Edward Jones in Paoli, Indiana, and you suffered losses due to his actions or recommendations, call Soreide Law Group for a no cost consultation with an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationally before FINRA. We operate on a contingency fee basis—no fee if no recovery. Let our years of experience work for you.
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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