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Morgan Stanley Broker Barred for Dodging Investigation into Unauthorized Trading

September 28, 2015 | Posted by : Guiliano Law Group | Churning, Failure To Supervise, Investment and Regulatory News | 0 Comments

Robert C. Marrone, a registered representative with Morgan Stanley, was permanently barred form association with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to FINRA findings that Marrone failed to cooperate in an investigation into allegations that Marrone engaged in unauthorized trading and discretion without authorization in client accounts. Letter of […]

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Morgan Stanley Broker Barred for Dodging Investigation into Unauthorized Trading

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