Articles Tagged with John Bocchino

AdobeStock_50775754-2-300x200According to a recent Disciplinary Proceeding with the Financial Industry Regulatory Authority (FINRA), John Bocchino, a former registered representative with Morgan Stanley and Citigroup, was accused of circumventing Morgan Stanley’s firm policies restricting trading in Venezuelan bonds. He allegedly booked hundreds of trades in the accounts and created firm documents that contained false information. Because of this, Bocchino was able to trade $190 million in the bonds in violation of the firm’s policies and avoid the firm’s supervision. His trades were largely concentrated in government and sovereign debt bonds issued by South American countries, mostly in Venezuela. This occurred between June 2009 and March 2012, and is against securities laws and firm policies.
According to his online, FINRA BrokerCheck report, Mr. Bocchino was registered with J.P. Morgan Securities in New York, New York from July 1998 until October 2000, Citigroup in New York from February 2001 until June 2009, Morgan Stanley in New York from June 2009 until March 2012 and UBS in New York from April 2012 until October 2016. He has one customer dispute against him, alleging he made unauthorized and excessive trades that were unsuitable for the clients’ risk tolerance. He is currently not registered.
If you suffered investment losses with Mr. Bocchino and would like to find out how to sue Morgan Stanley on a contingency fee basis, please call 312-332-4200 today for a no-cost, no-obligation consultation with one of our attorneys. We are based in Chicago, Illinois and sue firms in the FINRA arbitration forum.

According to a recent Disciplinary Proceeding with the Financial Industry Regulatory Authority (FINRA), John Bocchino and Rafael Jacinto were accused of engaging in a scheme to circumvent Morgan Stanley’s policies restricting trade in Venezuelan bonds. To do so, the men used fictitious nominee accounts that appropriated trades in the accounts and falsified firm documents. As a result of this, both men were able to trade approximately $190 million in Venezuelan bonds. Both men were registered representatives of Morgan Stanley in the New York City office. Both men were terminated from the firm as this was against securities rules and regulations.

John Bocchino was registered with JP Morgan Securities in New York from July 1998 until October 2000, Citigroup Global Markets in New York from February 2001 until June 2009 and Morgan Stanley in New York from June 2009 until March 2012. He is currently registered with UBS in New York and has been since April 2012. He has one customer dispute against him. Jacinto was registered with The Golden, Lender Financial Group in New York from April 1999 until July 1999, TD Waterhouse Investor Services in Omaha, Nebraska from July 1999 until November 2002, Citigroup Global Markets in New York from February 2004 until June 2009 and Morgan Stanley in New York from June 2009 until March 2012. He is currently registered with UBS in New York and has been since April 2012.

If you lost money with John Bocchino or Rafael Jacinto, please call our law offices in Chicago, Illinois today to speak to an attorney for free. We may be able to help you bring a case against Morgan Stanley in the FINRA arbitration forum to recover your investment losses. Morgan Stanley may be responsible for losses on a contingency fee basis. Call today. The call is free with no obligation.

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