FINRA Issues Sanctions To Bradley Kavanagh

Soreide Law Group is investigating possible investor claims against securities broker Bradley Stephen Kavanagh (CRD:  5784000, Baton Rouge, LA). Evidently, FINRA sanctioned the securities broker, who worked for Park Avenue Securities LLC. Allegedly, Kavanagh did not submit information and documents to FINRA when it investigated potential FINRA rule violations. Here is a brief summary of FINRA’s allegations against Kavanagh.

FINRA Bars Bradley Kavanagh For Failure To Provide Information

Evidently, on August 12, 2022, FINRA issued Case: 2022074637901 sanctioning Bradley Kavanagh for infractions. Specifically, Kavanagh was barred as a securities broker. Notably, FINRA claims that Kavanagh did not submit information and documents to FINRA when it investigated potential FINRA rule violations.

Mainly, FINRA began an investigation into Kavanagh concerning his potentially unapproved use of text messages and solicitation of equity transactions without a Series 7 during the time that he was associated with Park Avenue Securities. In connection with their investigation, FINRA sent Kavanagh a request for the production of information and documents on July 11, 2022. On August 3, 2022, Kavanagh indicated that he had received FINRA’s request but would not provide the sought-after documents and information at any time. Kavanagh violated FINRA Rules 2010 and 8210 as a result.

Park Avenue Securities LLC Disaffiliates With Kavanagh For Unauthorized Solicitation

Also, on March 10, 2022, Park Avenue Securities LLC disaffiliated with Kavanagh. Park Avenue Securities LLC alleged that Kavanagh engaged in the unauthorized solicitation of equities transactions.

Bradley Kavanagh Employment Information

Bradley Kavanagh worked for Park Avenue Securities LLC in Baton Rouge, LA, as a securities broker from October of 2019 to April of 2022.

Damages Resulting From Park Avenue Securities LLC Securities Broker Kavanagh?

Did you experience damages by investing with Bradley Kavanagh? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group, who has effectively recovered money for hundreds of investors in the United States, is ready to review your situation and explain your legal options. Also, the firm represents clients on a contingency fee basis and advances all costs. Kavanagh and brokerage firms Kavanagh worked for deny any and all allegations of sales practice violations.