Mircea Sauciuc of Leawood, Kansas, a stockbroker registered with Morgan Stanley Barney, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized transactions in a customer’s account and made unsuitable investment recommendations. Letter of Acceptance, Waiver and […]
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Tag Archives: Mircea Sauciuc
FINRA Fines Morgan Stanley Broker For Suitability
January 09, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | 0 Comments