Tag Archives: Rafael Barela Jacinto

Morgan Stanley Smith Barney Stockbroker Sanctioned

July 05, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Rafael Barela Jacinto, of New York, New York, a stockbroker formerly registered with Morgan Stanley Smith Barney, has been fined $10,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity pursuant to an Office of Hearing Officers Decision & Order of Offer of Settlement containing findings […]

Read More »

Morgan Stanley Stockbrokers Charged With Misrepresentations

September 16, 2016  |   Posted by :   |   Bond Fraud, Investment and Regulatory News, Unauthorized Trading   |   0 Comments

John Batista Bocchino and Rafael Barela Jacinto, of New York, New York, stockbrokers with Morgan Stanley Smith Barney, were charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that the individuals engaged in material misrepresentations and omissions concerning bond investments, unauthorized activity in connection with such, and falsified firm records. […]

Read More »