LOUIS SALERNO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/18/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LOUIS SALERNO (CRD No. 4704237), Respondent. Disciplinary Proceeding No. 2008015360301 Hearing Officer- Rochelle S. Hall DEFAULT DECISION March 18, 2010 The Respondent was barred for violating Procedural Rule 8210 and Conduct Rule 2010 by failing to appear to provide testimony at an on-the-record interview. Because of the bar, he was not additionally sanctioned for violating Conduct Rules 2510(b)
Reference 2008015360301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4704237 |
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