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.


What do you think?

View comments

Recommended next


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.


Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print