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FINRA bars former Morgan Stanley broker

The Financial Industry Regulatory Authority barred former Morgan Stanley broker Kevin Smith for refusing to appear and testify in connection with an investigation into his termination.

Morgan Stanley terminated Smith's employment in November 2016, due to concerns related to his activities while trustee on a family member's trust, as well as activities related to a trade that may have been executed without informing the client.

On Sept. 28, FINRA requested Smith to appear for an on-the-record testimony Oct. 15 but his counsel informed the agency that he will not be appearing.