Bradley Stephen Kavanagh of Baton Rouge, Louisiana, a stockbroker registered with Park Avenue Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Kavanagh refused to cooperate with a FINRA investigation into accusations of his unauthorized solicitation of equity transactions. Letter of Acceptance, Waiver, and Consent No. 2022074637901 (August 12, 2022).
According to the AWC, FINRA began its investigation into Kavanagh after receiving a Form U5 termination notice from his former employer. On July 11, 2022, in connection with the ongoing investigation, FINRA sent a request to Kavanagh to produce documents and information. On August 3, 2022, Kavanagh notified FINRA through a phone call that he received the request but would not provide the requested information and documents. As a result of his failure to cooperate, Kavanagh violated FINRA Rules 2010 and 8210.
Park Avenue Securities LLC discharged Kavanagh based upon allegations that Kavanagh violated firm policy regarding his solicitation of securities transactions without a Series 7 FINRA license. He was associated with Park Avenue Securities LLC from October 22, 2019, to April 8, 2022.
