Anthony John Salerno of South Easton, Massachusetts, a stockbroker registered with RBC Capital Markets, LLC, is the subject of a customer initiated investment related written complaint on November 1, 2017, where the customer requested $15,500.00 in damages based upon allegations that between August 26, 2016 and September 28, 2017, Salerno made unsuitable preferred stock recommendations to the customer, where the customer was not made aware of negative information concerning her equity investment at the time her investment was purchased.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that a customer filed an investment related arbitration claim involving Salerno’s conduct, in which the customer requested $230,041.00 in damages founded on accusations of unsuitable transactions having been executed in the customer’s account from 2012 to 2017 relating to oil & gas and master limited partnerships. FINRA Arbitration No. 17-02038 (Sept. 1, 2017).
On December 19, 2017, Salerno’s employment with RBC Capital Markets, LLC was terminated.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
