KEVIN BARRY MANGHAN is currently employed as a Broker and/or Investment Adviser at INFINEX INVESTMENTS, INC. located at 7 COLLEGE STREET, SOUTH HADLEY, MA, 01075.
KEVIN BARRY MANGHAN has worked at INFINEX INVESTMENTS, INC. since January 20, 2017
Disclosure History
KEVIN BARRY MANGHAN has 2 Disclosure Event(s).
Date: August 05, 2009 Category: Employment Separation After Allegations Firm Name: AMERIPRISE FINANCIAL SERVICES Termination Type: Voluntary Resignation Allegations: REPRESENTATIVE WAS SUSPENDED WHILE UNDER INTERNAL REVIEW FOR SALES PRACTICE VIOLATIONS. THE FIRM REFUNDED APPLICABLE PLANNING FEES TO THE CLIENT. THE REPRESENTATIVE RESIGNED THREE MONTHS AFTER THE REVIEW WAS COMPLETED.
Date: October 02, 2003 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED THAT I ENTERED UNAUTHORIZED TRANSACTIONS IN THEIR ACCOUNTS AND PURCHASED UNSUITABLE INVESTMENTS FROM THEM. Damage Amount Requested: $5,000.00 Broker Comment: I PROVIDED DOCUMENTATION AND EXPLANATION SUFFICIENT TO DENY ALL ALLEGATIONS FROM THESE CLIENTS. THE INVESTIGATION FOUND THAT THE COMPLAINT WAS UNJUSTIFIED.
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