FINRA BrokerCheck shows that Rod Ferruso [CRD: 1457661, Morgantown, West Virginia] is the subject of scrutiny due to various investor disputes and regulatory actions during his time with Royal Alliance Associates Inc. in Morgantown, WV (2018 - 2022) and previously with Signator Investors Inc. Summaries of these disclosures are provided below. FINRA Sanctions Against Rod […]

WASHINGTON —It was announced on FINRA's website that The Financial Industry Regulatory Authority (FINRA) has suspended William Bailey, a former NEXT Financial Group, Inc. broker of Mesa, Arizona, from the securities industry for two years for unsuitable and excessive trading of mutual funds and variable annuities. Bailey also engaged in discretionary trading without receiving prior written […]

WASHINGTON —It was announced July 20, 2011, on FINRA's website that The Financial Industry Regulatory Authority (FINRA) has suspended William Bailey, a former NEXT Financial Group, Inc. broker of Mesa, Arizona, from the securities industry for two years for unsuitable and excessive trading of mutual funds and variable annuities. Bailey also engaged in discretionary trading without […]