Doyle was censured for allegedly using discretionary power without a client’s written authorization.
Kevin Carey Doyle (CRD#: 2102345) was registered as a broker with Raymond James & Associates from 2018 until 2021. Previously, Doyle was registered as a broker with Morgan Stanley from 2009 until 2018.
Doyle has three disclosures on his BrokerCheck report.
September 2021 Regulatory Judgment
Initiated By: Oklahoma Department of Securities
Allegations: Respondent used discretionary power without the customer’s written authorization and without Morgan Stanley’s acceptance of the account as a discretionary account.
Resolution: Consent
Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
Amount: $15,000.00
Sanctions: Censure
April 2019 Customer Dispute
Status: Pending
Allegations: Claimant alleges, inter alia, excessive trading with respect to investments 2012-2018.
August 2008 Customer Dispute
Status: Settled
Allegations: Claimants allege, inter alia, that their investment strategy from 2012 – 2018 was unsuitable.
Damage Amount Requested: $43,456,291.00
Settlement Amount: $12,500,000.00
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