Investors might have sustained losses due to securities broker Brian Arthur Salerno [CRD: 6556591, Lake Mary, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Salerno joined CNR Securities LLC on November 24, 2015, and City National Rochdale on October 8, 2015. Keep reading to learn more about Salerno’s regulatory disclosures.
The Florida Office of Financial Regulation sanctioned Brian Salerno on October 27, 2023, for engaging in unregistered investment advisory activities relating to City National Rochdale LLC. Salerno was ordered to cease and desist and to pay a fine of $45,500. Case No. Bi, 116642-SR. Without admitting to the allegations, Salerno consented to the regulator’s findings of his misconduct.
Evidently, the Florida Office of Financial Regulation issued Case: 2021.DOS.2.OFR on January 13, 2021, sanctioning Brian Salerno. Allegedly, Salerno failed to respond timely to the Office's request for information, constituting a violation of Florida rules. Because of this, Salerno was denied registration.
Did you experience losses because of Brian Salerno? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors across the country, works on a contingency fee basis, and advances all costs. Salerno and brokerage firms he worked for deny any allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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