Stoltmann Law Offices is investigating Morissa Rivo, a former registered representative with Signator Investors in Boca Raton, Florida, who was recently barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). FINRA investigated Rivo after she was terminated from Signator Investors. At the time, she was also under investigation by the Florida Department of Financial Services in 2015. Brokerage firms such as Signator Investors have a duty to adequately supervise all representatives registered with their firm. The firm must also ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. If it does not, the firm may be liable for investment losses sustained by customers of the firm. Please call our securities law firm in Chicago to speak to one of our attorneys about your options. The call is free with no obligation and we take cases on a contingency fee basis only, which means we do not make money unless you recover it.
Rivo was registered with Metropolitan Life Insurance Co in Staten Island, New York from June 2006 until July 2007, MetLife Securities in Staten Island from June 2006 until November 2013 and Signator Investors in Boca Raton, Florida from February 2014 until May 2015. She has three customer disputes against her, one of which is currently pending. She is not licensed within the industry and has been permanently barred.
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