Discharged for Violation of Firm Policy
Did you lose money investing with Roman Corona? Contact Sonn Law Group today or call 866–827–3202 to schedule a free consultation on your case. Under FINRA Rules, member firms are responsible for supervising the activity of their brokers and may be liable for misconduct, and you may be able to recover your investment through FINRA arbitration.
Former Morgan Stanley broker Roman A. Corona (CRD# 1625705) has been barred from FINRA for allegedly failing to disclose outside brokerage accounts, the industry’s self-regulator says.
Corona has four years of industry experience with three firms, most recently JPMorgan Securities (2017-present) of Scottsdale, AZ; Morgan Stanley (2015–2017) of Seattle, WA; and Capital One Investing (2014–2015) of Seattle, WA.
In July 2019, Corona was barred by FINRA for failing provide requested testimony in connection with an investigation into Corona’s outside brokerage accounts.
Corona was also discharged from Morgan Stanley in October 2017 over these allegations.
According to Corona’s recorded statement to FINRA regulators, his wife had opened an outside brokerage account without his knowledge, which he immediately closed. No trading activity was recorded in the outside accounts.
Corona’s FINRA record states the he filed for Chapter 7 bankruptcy in August 2012.
Jeffrey R. Sonn is an experienced investor losses attorney. If you suffered losses because a financial professional or corporate executive misappropriated funds, Mr. Sonn will protect your rights and interests. Please do not hesitate to contact the Sonn Law Group today for a free review of your claim.