Articles Posted in Unauthorized Trades

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Ken KavanaghPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former New York-based Morgan Stanley broker Ken Kavanagh, who has received a customer dispute, recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kavanagh (CRD# 4502223).

Ken Kavanagh has spent 16 years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2018). Previous registrations include Citigroup Global Markets in New York, New York (2006-2009) and UBS Financial Services in Weehawken, New Jersey (2002-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 2, 2002, and Series 7 (General Securities Representative Examination), which he obtained on April 11, 2002. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and recently resigned from his former employer in connection to alleged misconduct.

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Mark SenofontePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that New Jersey-based Cetera Investment Services broker/adviser Mark Senofonte has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Senofonte (CRD# 2038108).

Mark Senofonte has spent 27 years in the securities industry and has been registered with Cetera Investment Services in Edison, New Jersey since 2007. Previous registrations include IFMG Securities in Toms River, New Jersey (2005-2007); The Investment Center in Bedminster, New Jersey (2004-2005); AXA Advisors in New York, New York (2004); IFMG Securities in Purchase, New York (2004); AllState Financial Services in Lincoln, Nebraska (2004); Quick & Reilly in New York, New York (2003-2004); IFMG Securities in Purchase, New York (1996-2003); United Planners’ Financial Services of America in Scottsdale, Arizona (1995-1996); Investnet Corporation in Pittsburgh, Pennsylvania (1993-1994); North American Management in Sioux Falls, South Dakota (1993); PFS Investments in Duluth, Georgia (1992-1993); Pruco Securities in Newark, New Jersey (1990-1992); and the Prudential Insurance Company of America in Newark, New Jersey (1990-1992). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 17, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 27, 1990; Series 7 (General Securities Representative Examination), which he obtained on June 26, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 10, 1990. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Connecticut, Delaware, Florida, Kansas, Massachusetts, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Vermont, Virginia, and West Virginia.

According to his BrokerCheck report, he has received one customer complaint and three denied customer complaints.