Kenneth Joseph Kavanagh of New York New York a stockbroker formerly employed by Morgan Stanley has been terminated by the firm on April 16, 2018 founded on allegations that Kavanagh engaged in unapproved outside business activities involving customers of the firm.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on May 25, 2016, a customer initiated investment related complaint concerning Kavanagh’s activities was settled to resolve accusations that while Kavanagh was associated with UBS Financial Services Inc., he purchased and sold mutual funds from the customer’s account without procuring the customer’s consent.
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