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 […]

Clients Of Fidelity Brokerage Services Take Aim At Anthony Mesquit The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding securities broker Anthony Mesquit (CRD#: 5210309, Jacksonville, Florida). Apparently, Mesquit worked for Strategic Advisers from 2012 to 2018, joined Fidelity Brokerage Services as a securities broker in January 2007, and is a Fidelity Personal and […]

Soreide Law Group, PLLC, was notified by FINRA today that the clients they represented against Morgan Stanley Smith Barney, LLC (“MSSB”)  were awarded 100% of compensatory damages, in addition to expert fees, pre-judgment interest, and costs.   In a published FINRA award, case number 10-02604, Attorney Lars Soreide, recovered for his clients, who were the heirs and trustees to […]