John Bocchino Involved in Pending FINRA Investigation

John BocchinoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 1, 2016 indicate that former New York-based UBS Financial Services broker/adviser John Bocchino is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bocchino (CRD# 2876260).

John Bocchino has spent seventeen years in the securities industry and was most recently registered with UBS Financial Services in New York, New York since 2012. Previous registrations include Morgan Stanley in New York, New York (2009-2012); Citigroup Global Markets in New York, New York (2001-2009); and JP Morgan Securities in New York, New York (1998-2000). He is a registered broker and investment adviser with thirteen US states and territories: California, Colorado, Connecticut, Florida, Maryland, Massachusetts, Missouri, New York, North Carolina, Ohio, Puerto Rico, Texas, and Washington.

According to his BrokerCheck report, John Bocchino has been the subject of one customer complaint and one pending FINRA investigation. He was discharged from his position at Morgan Stanley and recently resigned from UBS Financial Services.

In September 2016 John Bocchino submitted his “voluntary resignation” from UBS Financial Services “after FINRA filed a complaint on September 2, 2016 alleging that, while he was at Morgan Stanley from May 2011 through March 2012, he conducted certain trades in a manner that violated FINRA Rules 2010 and 4511 (formerly NASD Conduct Rule 3110).”

In January 2016 John Bocchino was named respondent in a FINRA complaint alleging he participated in the violation of FINRA and NASD rules related to commercial honor and supervision. The investigation remains pending.

In 2012 John Bocchino was terminated from Morgan Stanley Smith Barney following allegations he participated in securities transactions “for clients within accounts other than their own.”

In 2009 a customer alleged John Bocchino, while employed at Citigroup Global Markets, effected unauthorized transactions, made unsuitable recommendations, and executed excessive trades. The complaint, in which Mr. Bocchino was not a named respondent, settled in 2011 for $225,000.

If you or someone you know has lost money investing with John Bocchino, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.