August 12, 2022 – An AWC was issued in which Kavanaugh (CRD #5784000) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Kavanaugh consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation into the circumstances giving rise to a Form U5 filed by his member firm. The findings stated that the Form U5 disclosed that the firm had terminated Kavanaugh for violating its policies regarding his unapproved use of text messaging and for soliciting equity transactions without a General Securities Representative (Series 7) license. (FINRA Case #2022074637901)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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