KEVIN MICHAEL MULLANEY is currently employed as a Broker and/or Investment Adviser at TD AMERITRADE, INC. located at 1999 K St NW, Washington, DC, 20006.
KEVIN MICHAEL MULLANEY has worked at TD AMERITRADE, INC. since September 23, 2016
Disclosure History
KEVIN MICHAEL MULLANEY has 4 Disclosure Event(s).
Date: August 23, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS AND FAILED TO DIVERSIFY HIS ACCOUNT Damage Amount Requested: $500,000.00 Settlement Amount: $250,000.00 05-03738
Date: December 19, 2001 Category: Customer Dispute Allegations: UNSUITABILITY, OVERUSE OF MARGIN, MISREPRESENTATION, BREACH OF DUTY, NEGLIGENCE. Damage Amount Requested: $1,500,000.00 Settlement Amount: $310,000.00 Broker Comment: FIRM SETTLED FOR BUSINESS PURPOSES AND TO AVOID THE UNCERTAINTY OF ARBITRATION. ALL CLAIMS AGAINST MULLANEY AND CASTRO WERE DISMISSED WITH PREJUDICE AT THE TIME OF THE SETTLEMENT.
Date: March 26, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES MR. MULLANEY FAILED TO SELL A STOCK. Damage Amount Requested: $14,000.00 Settlement Amount: $7,600.00 Broker Comment: WE DO NOT BELIEVE THAT THERE WAS ANY WRONGDOING. WE BELIEVE THERE WAS A MISTAKE AND THAT THE ORDER WAS ACCIDENTLY EXECUTED IN THE WRONG ACCOUNT.
Date: December 06, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT NORTHPOINT COMMUNICATIONS HOLDERS WAS UNAUTHORIZED. Settlement Amount: $7,500.00 Broker Comment: THIS MATTER WAS SETTLED BY THE FIRM IN ORDER TO AVOID THE COSTS AND UNCERTAINTIES OF LITIGATION.
More Information
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