Candido Viyella (CRD #: 1829255), a broker registered with Morgan Stanley, has a pending investor dispute, according to his BrokerCheck record, accessed December 1, 2020. This dispute alleges selling away, which is an unauthorized business practice.
On October 12, 2020, clients alleged that Candido Viyella solicited an outside investment opportunity without his firm’s approval, also known as “selling away.” These types of transactions are not allowed under FINRA Rule 3280, in part because selling away makes it possible for brokers to conduct business without their member firm’s supervision. The dispute is pending.
On October 22, 2019, clients allege that Candido Viyella engaged in selling away. The dispute is pending.
Candido Viyella has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, Securities Industry Essentials Examination, Series 3 National Commodity Futures Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in 22 states and a registered investment adviser in Florida and Texas.
During his 32 years in the securities industry, Candido Viyella has worked for the following firms:
- Morgan Stanley (CRD #: 8209)
- UBS International (CRD #: 107726)
- UBS Painewebber (CRD #: 8174)
- Prudential Securities (CRD #: 7471)
- Smith Barney, Harris Upham (CRD #: 7059)
- Drexel Burnham Lambert (CRD #: 7323)
If Candido Viyella was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.