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The regulator bars a former Morgan Stanley Smith Barney employee charged with evading the firm’s AML and compliance departments.
The Financial Industry Regulatory Authority reports that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for “concealing approximately $190 million in Venezuelan bond trades from the firm, which had restricted such trading due to the regulatory, anti-money laundering and reputational risks it posed.” Instead, FINRA says, Bocchino, at the time...
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