Home Life Insurance FINRA Fines Ex-Morgan Stanley Worker for Utilizing Cell Telephone Throughout Sequence 7 Examination

FINRA Fines Ex-Morgan Stanley Worker for Utilizing Cell Telephone Throughout Sequence 7 Examination

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FINRA Fines Ex-Morgan Stanley Worker for Utilizing Cell Telephone Throughout Sequence 7 Examination

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The Monetary Business Regulatory has fined and suspended a former Morgan Stanley worker for having and accessing his cellular phone whereas taking the Sequence 7 examination.

Stephen LaGreca was suspended from associating with any FINRA member in all capacities for 18 months and ordered to pay a $5,000 superb. He accepted the sanctions with out admitting or denying the findings.

Based on the order, on Dec. 18, 2022, whereas related to Morgan Stanley as a non-registered fingerprint individual, Stephen LaGreca took the Sequence 7 examination from his residence utilizing a distant testing platform.

Previous to starting the examination, “LaGreca attested that he had reviewed and would abide by the Guidelines of Conduct, which require candidates to retailer all private objects exterior the room the place they take the examination and prohibit entry to private objects, together with cell telephones, through the examination,” the order states.

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