{"id":4834,"date":"2018-01-16T17:54:54","date_gmt":"2018-01-16T23:54:54","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=4801"},"modified":"2022-03-22T15:07:59","modified_gmt":"2022-03-22T20:07:59","slug":"finra-cases-ex-morgan-stanley-broker-former-western-international-securities-broker-barred-questar-capital-ordered-pay-797k-restitution-mutual-fund-sales-morgan-stanley-smith-b","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-cases-ex-morgan-stanley-broker-former-western-international-securities-broker-barred-questar-capital-ordered-pay-797k-restitution-mutual-fund-sales-morgan-stanley-smith-b\/","title":{"rendered":"FINRA Cases: Ex-Morgan Stanley Broker and Former Western International Securities Broker Are Barred, Questar Capital Ordered to Pay $797K Restitution Over Mutual Fund Sales, and Morgan Stanley Smith Barney is Accused of Not Sending Millions of Margin Disclosures"},"content":{"rendered":"

Two Brokers Barred After Not Appearing at FINRA Hearings<\/strong><\/h2>\n

Guillermo Valladolid, an ex-Morgan Stanley (MS) broker, has been barred by the Financial Industry Regulatory Authority. According to the regulator, Valladolid did not show up at a hearing into whether, according to InvestmentNews<\/em>, he \u201csold investments away from his employer\u201d and neglected to disclose certain outside business activities.<\/p>\n

Morgan Stanley terminated Vallodolid\u2019s employment. Previous to that he worked with Merrill Lynch<\/a>.<\/p>\n

In a different FINRA case, the regulator barred another broker, Bradley C. Mascho, also after he did not appear at his hearing. Some of Mascho\u2019s activities while at Western International Securities had come under question. The firm fired him last month, which is also when the US Securities and Exchange Commission filed fraud charges against Mascho and Dawn Bennett of the Bennett Group Financial and DJP Holdings. Mascho was CFO of the latter.<\/p>\n

Continue Reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

Two Brokers Barred After Not Appearing at FINRA Hearings Guillermo Valladolid, an ex-Morgan Stanley (MS) broker, has been barred by the Financial Industry Regulatory Authority. According to the regulator, Valladolid did not show up at a hearing into whether, according to InvestmentNews, he \u201csold investments away from his employer\u201d and neglected to disclose certain outside […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3773,3752,3739,3800,3787,3799],"tags":[],"class_list":["post-4834","post","type-post","status-publish","format-standard","hentry","category-broker-fraud","category-financial-firms","category-finra","category-merrill-lynch","category-morgan-stanley","category-mutual-funds"],"yoast_head":"\nEx-Morgan Stanley and Western International Securities Broker Are Barred — Investor Lawyers Blog<\/title>\n<meta name=\"description\" content=\"An ex-Morgan Stanley (MS) broker, has been barred by the Financial Industry Regulatory Authority after he failed to show 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