Ronald Cohen of Boca Raton, Florida submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in outside business activities without providing prior written notice to his firm.
Cohen entered the securities industry in July 1992. Between 2009 through September 2014, Cohen was a General Securities Representative with Morgan Stanley. Cohen voluntarily left Morgan Stanley in September 2014 while under investigation for failing to disclose outside business arrangements. Continue reading →