Butler is accused of negligence and erroneous trading, among other forms of misconduct.
Kevin Anthony Butler (CRD#:1138534) is registered as a broker and investment adviser with Morgan Stanley, where he has been employed since 2009. Previously, Butler was registered as a broker with Citigroup Global Markets from 1993 until 2009.
Butler has two disclosures on his BrokerCheck report.
December 2020 Customer Dispute
- Status: Award / Judgment
- Allegations: Butler was named in a customer complaint that asserted the following causes of action: negligence; erroneous trading; execution error; failure to properly execute trade; and negligent management and supervision.
- Damage Amount Requested: $1,590,295.00
May 2002 Regulatory Judgment
- Status: Final
- Initiated By: Commonwealth of Mass Insurance Commission
- Allegations: Failure to disclose arrest record on agent application.
- Resolution: Settled
- Sanctions: Monetary/Fine
- Amount: $2,500.00
- Sanctions: None
- Sanction Details: $2500.00 fine paid May 22, 2002.
- Broker Comment: I inadvertently omitted the disclosure of an arrest on my insurance agent appointment applications. I thought that it was not necessary as the case in question had been dismissed.
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The Sonn Law Group is currently investigating allegations surrounding Kevin Anthony Butler. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.
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