Ken Kavanaugh, Former Morgan Stanley Broker, Suspended for 18 Months For Unauthorized Outside Business Activities

Voluntarily resigned from his position following allegations regarding his involvement in unauthorized outside business activities

Sonn Law is investigating Former Morgan Stanley Broker Ken Kavanaugh. We represent investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 866–827–3202, or complete our contact form for a free consultation.

Ken Kavanaugh (CRD# 4502223) is a previously registered broker and investment advisor. From 2009 to 2018, Mr. Kavanaugh was a registered representative of Morgan Stanley based in New York, New York. In April 2018, Mr. Kavanagh voluntarily resigned from his position following allegations regarding his involvement in unauthorized outside business activities.

On August 5th, 2019, FINRA issued a final regulatory action suspending Mr. Kavanaugh for 18 months after an investigation revealed that he had managed the personal affairs of professional athletes, of whom at least 40 were also clients of Morgan Stanley, without providing written notice to the firm. Without admitting or denying the findings, Mr. Kavanaugh consented to the suspension and a $25,000 fine (Letter of Acceptance, Waiver and Consent №2018058564001).

Mr. Kavanaugh’s BrokerCheck report contains only one other disclosure, a customer dispute from August 2018 that was withdrawn. Prior to his registration with Morgan Stanley, Mr. Kavanaugh was employed by Citigroup Global Markets (2006–2009) and UBS Financial Services (2002–2006).

Jeffrey R. Sonn is an experienced investor losses attorney. If you suffered losses because a financial professional or corporate executive misappropriated funds, Mr. Sonn will protect your rights and interests. Please do not hesitate to contact the Sonn Law Group today for a free review of your claim.