Marcio Moraes Marciano Da Rocha – Insigneo Advisory Services, Miami FL: Investor Alert & Complaint Review
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Haselkorn & Thibaut, a nationally recognized investment fraud law firm, has launched an investigation into Marcio Moraes Marciano Da Rocha, formerly associated with Insigneo Advisory Services LLC in Miami, FL, and Insigneo Securities LLC. If you are an investor who worked with Mr. Da Rocha, this comprehensive research report will guide you through his background, outline red flags, and deliver the most current information on customer complaints—and what your next steps could be.
Who Is Marcio Moraes Marciano Da Rocha?
Marcio Da Rocha (CRD #6558910) is an investment professional with experience across several financial institutions, most recently with Insigneo Advisory Services LLC (Miami, FL), Insigneo Securities LLC, and Insigneo Asesor Internacional S.A. (Montevideo, Uruguay). He previously worked at Morgan Stanley (2015–2023).
Mr. Da Rocha has held multiple securities licenses, including the Series 7, Series 65, and Series 66, as well as the Securities Industry Essentials (SIE) Exam. As of the latest updates, he is not currently registered as a broker or advisor.
| Field | Value |
|---|---|
| Name of Advisor | Marcio Moraes Marciano Da Rocha |
| Advisor’s CRD | 6558910 |
| Broker-Dealer(s) | Insigneo Advisory Services LLC / Insigneo Securities LLC / Insigneo Asesor Internacional S.A. |
| Location(s) | Miami, FL (USA), Montevideo (Uruguay) |
| Prior Firms | Morgan Stanley (2015–2023) |
| Highest Reported Settlement | $800,000 |
Haselkorn & Thibaut’s ongoing investigation is focused on investor complaints and potential loss recovery relating to Mr. Da Rocha’s time with Insigneo and Morgan Stanley.
Marcio Da Rocha: Complaints, Disclosures, and Regulatory Record
- According to FINRA’s BrokerCheck, Mr. Da Rocha’s record currently shows no customer disputes, regulatory actions, or formal disclosures against him. You can verify his current status here.
- No regulatory sanctions by the SEC, FINRA, or state securities agencies were found at the time of this report.
- No public bankruptcy filings, civil judgments, or terminations for cause were identified.
Significant Complaint and Settlement in FINRA Arbitration
While Mr. Da Rocha currently shows a clean record, investors should be aware of a large settlement resulting from a 2020 arbitration claim.
- Case No. 20-02294: Filed July 2020, this case alleged that Marcio Da Rocha, while at Morgan Stanley Smith Barney, misrepresented and recommended an unsuitable, risky options strategy involving ETFs. Alleged misconduct took place between November 15, 2019, and March 31, 2020.
- Outcome: The claim was settled in May 2023 for $800,000.
This settlement stands as a major red flag for current and former clients: A settlement of this size often signals significant investor losses linked to specific recommendations or strategies.
Understanding Potential Investor Risks: What to Watch For
- Unsuitable Investment Recommendations: The major arbitration and subsequent settlement involved allegations of recommending strategies that did not align with the client’s financial goals, risk tolerance, or investment profile.
- Complex Products (ETFs, Structured Notes): Mr. Da Rocha’s reported use of options and structured products (sometimes called market-linked investments) may not be appropriate for all investors. These products can be confusing and potentially expose investors to unexpected losses.
- High Settlements/Claims: An $800,000 settlement is notable and may indicate considerable exposure to client loss or harm.
Complete Listing of Known Complaints & Cases
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FINRA Arbitration Case No. 20-02294:
- Allegations: Unsuitable and risky options ETF strategy; misrepresentation.
- Timeframe: November 15, 2019 – March 31, 2020.
- Firm Involved: Morgan Stanley Smith Barney
- Settlement: $800,000 (May 2023)
- No other customer complaints or regulatory disclosures are currently reported.
How to Respond If You Suffered Losses
If you invested with Marcio Moraes Marciano Da Rocha or through Insigneo Advisory Services LLC, and you are concerned about your portfolio, you are not alone. Investment losses tied to unsuitable strategies or complex structured products can be difficult to spot until significant damage has occurred.
- If you lost money in ETF, options, or structured product strategies, now is the time to review your account.
- Haselkorn & Thibaut represents investors nationwide and offers free, confidential consultations.
- No recovery, no fee: You pay nothing unless your case is successful.
What Is FINRA Arbitration?
FINRA Arbitration is a specialized dispute resolution process available to investors who believe they suffered losses due to a broker’s misconduct. Most investment-related grievances—including unsuitability, misrepresentation, or negligence—must be resolved through this process, not court litigation. Financial advisors and broker-dealers like Insigneo are subject to these claims if an investor can show breaches of duty, unsuitable recommendations, or rule violations.
Next Steps: Secure a Free Case Review
Worried about your investments with Marcio Da Rocha or Insigneo Advisory Services? The experienced securities lawyers at Haselkorn & Thibaut are ready to review your situation—at no cost to you. With a 98% success rate, over 50 years of experience, and millions recovered for investors nationwide, their team has the knowledge and resources to help you seek recovery.
Conclusion: Stay Informed, Take Action
Even if there are no current reports of regulatory action, the existence of a significant customer complaint and settlement is reason enough to carefully examine your investments. If you suspect you’ve suffered losses due to the advice or actions of Marcio Da Rocha during his time with Insigneo Advisory Services LLC or Morgan Stanley, immediate action can help protect your rights and potential recovery.
Don’t wait. Take charge of your financial future—call Haselkorn & Thibaut today for guidance tailored to your unique situation.
