MATTHEW ANTHONY CARRARA is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 370 SOUTH JUNO LANE, JUNO BEACH, FL, 33408.
MATTHEW ANTHONY CARRARA has worked at MORGAN STANLEY since October 17, 2012
Disclosure History
MATTHEW ANTHONY CARRARA has 2 Disclosure Event(s).
Date: October 07, 1994 Category: Regulatory Initiated By: STATE OF MICHIGAN; CORPORATION ANDSECURITIES BUREAU. DLB/LE Allegations: Not Provided Resolution: Consent Sanction Details: THE AGENT AGREED TO AN ORDER OF AGENTREGISTRATION THAT RESTRICTED HIS ACTIVITIES FOR A PERIOD OF ONEYEAR TO INSTITUTIONAL CLIENTS ONLY IN THE STATE OF MICHIGAN. Broker Comment: SEE ATTACHED ORDER.
Date: April 29, 1991 Category: Regulatory Initiated By: CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED Allegations: STATEMENT OF CHARGES ISSUED BY THE BUSINESSCONDUCT COMMITTEE OF THE CHICAGO BOARD OF OPTIONS EXCHANGE,INCORPORATED ALLEGED THAT MORGAN STANLEY & CO. INCORPORATED,MATTHEW A. CARRARA, ROBERT A. FAGEN AND RICHARD A. GOLDSMITHVIOLATED EXCHANGE RULES 4.11 AND 24.4(A), RELATING TO OPTIONSPOSITION LIMITS. Resolution: Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $30,000.00 Sanction Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS INTHE STATEMENT OF CHARGES OR THAT A VIOLATION OF EXCHANGE RULESWAS COMMITTED, THE RESPONDENTS ENTERED INTO A STIPULATION OFFACTS AND FINDINGS AND AGREED TO THE IMPOSITION OF A $30,000.JOINT AND SEVERAL FINE.
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