JOHN BATISTA BOCCHINO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. John Batista Bocchino (CRD No. 2876260) and Rafael Barela Jacinto (CRD No. 3115326), Respondents. DISCIPLINARY PROCEEDINGS No. 2012032019101 Hearing Officer MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 1, 2017 INTRODUCTION Disciplinary Proceeding No. 2012032019101 was filed on September 1, 2016 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
09/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. John Batista Bocchino (CRD No. 2876260) and Rafael Barela Jacinto (CRD No. 3115326), Respondents. DISCIPLINARY PROCEEDINGS No. 2012032019101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From at least May 201 1 through March 2012 (the "Relevant Period"), while registered with Morgan Stanley Smith Barney ("Morgan Stanley" or the "Firm"), Respondents John Batista Bocchino
Reference 2012032019101data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2876260

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