FINRA issued the following complaint in the January 2022 Disciplinary Report. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the allegations contained in the complaint. Because these complaints are unadjudicated, you may wish to contact the respondents before drawing any conclusions regarding the allegations in the complaint.
Daniel Della Rosa (CRD #2468171, Tampa, Florida)
On November 23, 2021 – Daniel Della Rosa was named a respondent in a FINRA complaint alleging that he failed to provide information and documents and also failed to appear for on-the-record testimony requested by FINRA as part of an investigation relating to, among other things, his responsibilities at his member firm, his client accounts and communications with clients.
The FINRA complaint alleges that FINRA had requested that Daniel Della Rosa complete a questionnaire and return it. Della Rosa’s failure to provide the requested information, documents, and testimony impeded FINRA’s investigation into his conduct.
(FINRA Case #2020065714602)
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Daniel Della Rosa was in the securities industry for 26 years. He registered both as a broker and as an investment advisor. He was listed with 8 firms and has 6 disclosures on his FINRA CRD report. According to BrokerCheck, FINRA has barred Daniel Della Rosa from acting as a broker or otherwise associating with a broker-dealer firm. Della Rosa was permanently barred with a start date of 12/16/2021.
The Regulator Statement issued on his CRD Regulatory report is as follows: “Without admitting or denying the allegations, Della Rosa consented to the sanction and to the entry of findings that he failed to provide information and documents and also failed to appear for on-the-record testimony requested by FINRA in connection with its investigation of his sales practices.”
The most recent firms Della Rosa was listed with were:
11/14/2017 - 03/10/2021 CORINTHIAN PARTNERS LLC - TAMPA, FL
07/15/2016 - 08/29/2017 PAULSON INVESTMENT COMPANY LLC - TAMPA, FL
03/25/2010 - 07/29/2016 AEGIS CAPITAL CORP. - TAMPA, FL
If you’ve experienced financial losses due to the actions or recommendations of the former broker/investment advisor, Daniel Della Rosa formerly of Corinthian Partners of Tampa, Florida, contact the Florida-based Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee basis and we represent our clients nationwide before FINRA.
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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