Pompano Beach, Florida-based Soreide Law Group obtained from FINRA’s “Disciplinary and Other Actions March 2016,” the following information on Boca Raton broker:
MORISSA F. RIVO (CRD# 5149961)
was barred by FINRA, without admitting or denying the findings, Rivo consented to the sanction and to the entry of findings that she failed to appear for FINRA on-the-record testimony during the course of its investigation.
(FINRA Case #2014041961001)
Morissa F. Rivo was previously with Signator Investors, Inc. of Boca Raton, and MetLife Securities Inc., of Staten Island, which according to FINRA’s BrokerCheck, discharged her. Also, Rivo has had three customer complaints while employed 8 years in the securities industry. A reason was not given for her failure to appear for a FINRA on-the-record testimony.
02/2014 - 05/2015 SIGNATOR INVESTORS, INC. - BOCA RATON, FL
06/2006 - 11/2013 METLIFE SECURITIES INC. - STATEN ISLAND, NY
06/2006 - 07/2007 METROPOLITAN LIFE INSURANCE COMPANY - STATEN ISLAND, NY
FINRA has permanently barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public.
If you were a client of Morissa Rivo and suffered losses as a result of her recommendations, call the Florida-based Soreide Law Group for a free consult on recovering your investments at: 888-760-6552.
We represent clients nationwide in FINRA arbitrations.
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