<![CDATA[Equity Services - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/equity-services/ Wed, 20 Aug 2025 15:41:51 GMT en-us <![CDATA[RICHARD JACKSON of Equity Services is SUSPENDED]]> https://www.israelsneuman.com/blog/richard-jackson-equity-services-suspended/ https://www.israelsneuman.com/blog/richard-jackson-equity-services-suspended/ Fri, 23 Aug 2024 19:16:14 GMT Former Equity Services Advisor Richard Jackson Suspended NEW YORK, NY Have you invested with financial advisor Richard Jackson from New York, New York? This advisor was suspended for one month by FINRA. FINRA began its investigation after he was terminated by Equity Services. He was alleged to have made promissory, exaggerated and unwarranted representations about…

]]> Former Equity Services Advisor Richard Jackson Suspended

NEW YORK, NY Have you invested with financial advisor Richard Jackson from New York, New York? This advisor was suspended for one month by FINRA. FINRA began its investigation after he was terminated by Equity Services. He was alleged to have made promissory, exaggerated and unwarranted representations about investments to at least twenty customers. FINRA alleged that these representations violated FINRA Rule 2210.

Richard Joseph Jackson held his securities license with Equity Services from October 2018 to November 2022. He worked in New York, New York. He also had three tax liens dating back to 2013.

Under FINRA Rule 3111, this brokerage firm is required to have written supervisory and compliance procedures to monitor the conduct of its advisors. If the firm failed to reasonably supervise its advisor, it may be liable for customer losses.

Our firm has represented numerous investors throughout New York and have sued dozens of brokerage firms in the past.

VIEW BROKERCHECK REPORT HERE. VIEW FINRA AWC HERE.

If you lost money with Richard Jackson or Equity Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

]]> <![CDATA[WESLEY TRIANI of Equity Services Expelled by FINRA]]> https://www.israelsneuman.com/blog/wesley-triani-equity-services-expelled-finra/ https://www.israelsneuman.com/blog/wesley-triani-equity-services-expelled-finra/ Thu, 24 Aug 2023 15:02:14 GMT Equity Services Advisor Wesley Triani Expelled by FINRA HAUPPAUGE, NEW YORK Financial advisor Wesley Triani has been barred from the securities industry by FINRA. Triani, who previously worked with Equity Services, failed to respond to a FINRA investigation, which led to the expulsion. View his BrokerCheck here. View FINRA AWC Here. Mr. Triani was the…

]]> Equity Services Advisor Wesley Triani Expelled by FINRA

HAUPPAUGE, NEW YORK

Financial advisor Wesley Triani has been barred from the securities industry by FINRA. Triani, who previously worked with Equity Services, failed to respond to a FINRA investigation, which led to the expulsion. View his BrokerCheck here. View FINRA AWC Here.

Mr. Triani was the subject of a Rule 4530 filing, which is what led to the investigation by FINRA. Rule 4530 provides that firms are required to file a report with FINRA when an advisor is involved in certain conduct, including allegations of violating securities rules and regulations, allegations that the broker misappropriated customer funds, or is named as a respondent or defendant by a regulatory body. FINRA did not specify the grounds for which Triani was subject to a Rule 4530 filing.

Wesley Triani worked in Hauppauge, New York. He was a representative of Equity Services since February 2003. He had been in the securities since 2000.

Registered representatives are required to respond to FINRA’s investigation under FINRA Rule 8210. It is common that advisors are barred if they fail to respond to a FINRA investigation.

If you lost money with Wesley Triani or Equity Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

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