Publicly 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.
In April 2018 he submitted his “voluntary resignation” from his position at Morgan Stanley Wealth Management following allegations regarding his “involvement in the provision of services to clients outside the scope of the firm’s services.”
In 2006 a customer alleged Ken Kavanagh, while employed at UBS Financial Services, made unauthorized mutual fund transactions. The complaint settled with the firm’s cancellation of the transactions in question.
If you or someone you know has lost money investing with Ken Kavanagh, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.