Ken Kavanagh, Financial Advisor Ken Kavanagh Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Ken Kavanagh CRD #4502223
Ken Kavanagh was a formerly licensed financial advisor with Morgan Stanley. According to FINRA, Ken Kavanagh was suspended from the securities industry for 18 months and fined $25,000 in August 2019.
According to FINRA allegations:
Ken Kavanagh consented to the sanctions and to the entry of findings that Ken Kavanagh engaged in outside business activities without providing prior written notice to Ken Kavanagh’s member firm. The findings stated that Ken Kavanagh managed the personal affairs of professional athletes, including over 40 professional athletes who were clients of both Ken Kavanagh and the firm. Ken Kavanagh received approximately $5 million in fees. Ken Kavanagh also falsely attested on six firm questionnaires that Ken Kavanagh was not involved with any outside business activities.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Ken Kavanagh and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Ken Kavanagh’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Ken Kavanagh and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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