Kevin McCarthy, of Former Hialeah, Florida financial advisor, a stockbroker formerly registered with Madison Avenue Securities, was barred by FINRA (AWC No. 2025088420501) because he “refused to provide documents and information requested pursuant to FINRA Rule 8210,” which provides that FINRA may require registered persons under its jurisdiction to provide documents, information, and testimony connected with matters under its investigation. Finding that McCarthy refusal to cooperate, and violated the rule, FINRA barred him from associating with any member firm in any capacity.
According to FINRA Public Disclosure, McCarthy’s was termination from Madison Avenue Securities in January 2026, following and internal review determined that McCarthy “accessed clients’ personal bank accounts, and was involved in certain payments made from those bank accounts” and that “some of these payments made from the bank accounts were to individuals with a familial relationship to Mr. McCarthy.”
A second disclosure on Mr. McCarthy’s BrokerCheck report concerns an investor complaint against him, also filed in January 2026, where it is alleged that during the course of his association with Madison Avenue Securities, McCarthy “facilitated the disappearance of $1.6 million from three of the client’s bank accounts.”
The Guiliano Law Group, P.C.
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