Finra bars former Morgan Stanley rep who hid outside accounts

Roman Corona declined to appear before panel looking into holdings

Jul 12, 2019 @ 12:17 pm

By InvestmentNews

The Financial Industry Regulatory Authority Inc. has barred former Morgan Stanley representative Roman Corona for not appearing at a hearing inquiring into brokerage accounts he held away from the firm.

(More:Finra bars broker accused of stealing $1 million from clients)

In October 2017, Morgan Stanley discharged Mr. Corona, alleging that the Phoenix-area adviser did not disclose his outside brokerage accounts and initially denied, when asked, whether such accounts existed. He joined JPMorgan Securities in 2018.

Mr. Corona began his securities career at Capital One Investing in 2014 and moved to Morgan Stanley a year later.

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