Fabio Peter La Rosa
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/17/2025: Between November 2019 and December 2020, while associated with Morgan Stanley, La Rosa processed 15 transfers of funds totaling $90,700 from the trust accounts established for Customers A and B, a married couple, to their joint brokerage account upon instructions given to him by Customer A, who was not authorized to direct transactions in the trust accounts. By this conduct, La Rosa made unauthorized transactions in violation of FINRA Rule 2010 and is suspended for one month and fined $5,000.
Reference 2022075769001data-portal.finra.orgfinra.org
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