Candido Jose Viyella, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Appear for Testimony

Viyella was being investigated by FINRA regarding participation in undisclosed private securities transactions.

Candido Jose Viyella (CRD: 1829255) was registered as a broker with Morgan Stanley from 2009 until 2020. In November 2020, Viyella was discharged from Morgan Stanley following allegations that he participated in an outside investment involving clients for which Viyella had a “beneficial ownership interest.”

Viyella has six other disclosures on his BrokerCheck report.

May 2021 Regulatory Judgment

• Status: Final
• Initiated By: FINRA
• Allegations: Without admitting or denying the findings, Viyella consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he participated in private securities transactions without providing prior written notice to his member firm.
• Resolution: Acceptance, Waiver & Consent (AWC)
• Sanctions: Bar
• Registration Capacities Affected: All Capacities
• Duration: Indefinite
• Start Date: 5/10/2021

October 2020 Customer Dispute

• Status: Pending
• Allegations: Claimants allege inter alia FA solicited outside investment opportunity in or about October 2013 that was not authorized by Firm.
• October 2020 Customer Dispute
• Status: Settled
• Allegations: Claimants allege inter alia FA solicited outside investment opportunity in or about October 2013 that was not authorized by Firm.
• Damage Amount Requested: $500,000.00
• Settlement Amount: $60,000.00

October 2020 Customer Dispute

• Status: Settled
• Allegations: Claimants allege inter alia FA solicited outside investment opportunity in or about October 2013 that was not authorized by Firm.
• Damage Amount Requested: $1,000,000.00
• Settlement Amount: $140,000.00

March 2020 Customer Dispute

• Status: Pending
• Allegations: Claimants allege, inter alia, fraudulent misrepresentation with respect to outside investment opportunities not authorized by the firm that were solicited by the FA between 2013-2015.
• Damage Amount Requested: $2,000,000.00

October 2019 Customer Dispute

• Status: Settled
• Allegations: Claimants allege inter alia FA solicited outside investment opportunities not authorized by the firm – Oct 15, 2015 – Oct 18, 2019

Contact Us Today

The Sonn Law Group is currently investigating allegations surrounding Candido Jose Viyella. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.