According to a recent FINRA announcement, Robert C. Marrone (CRD #4343935, Lincoln Park, New Jersey) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Marrone consented to the sanction and to the entry of findings that he refused to respond to FINRA’s requests for information during the course of its investigation into whether he engaged in unauthorized trading and used discretion in client accounts without written authorization.
For the full findings see, FINRA Case #2014042204201.
According to his FINRA Broker Check, Marrone was registered with Morgan Stanley from 06/2009 – 07/2014.
The foregoing information has been provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9760.
For more information on the firm and its representation of investors, visit https://whitesecuritieslaw.com.
Last modified: December 16, 2015