Rajvinder Singh Budwal of San Jose, California, a stockbroker associated with SagePoint Financial Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $22,500.00 in damages based upon allegations that Budwal made unsuitable recommendations of an equity fund. Budwal was associated with SagePoint…
Rodney Michael Ferruso (also known as Rod Ferruso), of Morgantown, West Virginia, a stockbroker registered with Osaic Wealth Inc. (previously known as Royal Alliance Associates Inc.), has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Ferruso refused to appear and testify in a FINRA investigation concerning allegations…