Tag Archives: James Carolan Speno

Morgan Stanley Stockbroker Suspended For Unauthorized Trading

January 13, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

James Carolan Speno, of New York, New York, a stockbroker formerly registered with Morgan Stanley, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity based upon consenting to findings that Spendo effected transactions in customer accounts without authorization. Letter of Acceptance, Waiver and Consent, […]

Read More »