WARNING! Impending Investigation: MORISSA RIVO and SIGNATOR INVESTORS, INC.
Morissa Rivo and Signator Investors, Inc.
Have you lost money with financial advisor Morissa Rivo of Boca Raton, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Morissa Rivo. FINRA barred Rivo from the securities industry after she failed to respond to a FINRA investigation. FINRA was investigating Rivo after she was terminated from Signator Investors. She was also under an investigation from the Florida Department of Financial Services in 2015.
Morissa Rivo was a financial advisor and registered representative of Signator Investors, Inc. from February 2014 to May 2015. She worked at a branch office in Boca Raton, Florida. Rivo previously worked from MetLife Securities from June 2006 to November 2013. She has two customer complaints on her record, where the investors make allegations regarding the sales of variable annuities.
Brokerage firms like Signator Investors and MetLife Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Rivo FINRA AWC
Click to view: Rivo BrokerCheck 1.16.16
HAVE YOU LOST MONEY WITH MORISSA RIVO or SIGNATOR INVESTORS?
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