HAUPPAUGE, NEW YORK Have you invested with financial advisor Peter Lawrence from Hauppauge, New York? He was fired by American Portfolios Financial Services in October 2023 regarding allegations that he sent unapproved reports to clients that contained inaccuracies. In addition, Peter Lawrence has been the subject of ten customer complaints within the last year, many of which make complaints about variable annuities.

According to FINRA, Mr. Lawrence had held his securities license with American Portfolios Financial Services from January 2019 to October 2023. He was also affiliated with Questar Capital Corp. from 2006 to January 2019 and worked in a Hauppauge, New York office.

Brokerage firms are required to have written supervisory and compliance procedures, under securities rules and regulations. If the firm failed to reasonably supervise its financial advisor, it may be held liable for customer losses.

Our firm has represented numerous investors throughout New York and have dozens of brokerage firms in the past, including against American Portfolios Financial Services.

View BrokerCheck report here.

If you lost money with Peter Lawrence or American Portfolios Financial Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

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.

HAUPPAUGE, NEW YORK

Have you lost money with financial advisor Jason Walsh, formerly with Network 1 Financial Securities in Hauppauge, New York? A customer recently filed a complaint against the brokerage firm in FINRA arbitration, making allegations against Jason Walsh. The complaint alleges that he breached his fiduciary duty related to stocks and alleges $3.7 million in damages.

Jason J. Walsh had been a financial advisor and registered representative of Network 1 Financial Securities from May 2020 to May 2022. He now works with PHX Financial. He worked at a branch office in Hauppauge, New York. In addition to this complaint, Walsh has been the subject of two other complaints, as well as a tax lien.

If a financial advisor or brokerage firm makes an unsuitable investment recommendation to a customer, that customer may be able to sue the advisor and/or firm for financial losses. The suitability rule is governed by FINRA Rule 2111.

View Walsh, j BrokerCheck 7.9.23

If you lost money with Jason Walsh or Network 1 Financial Securities, please Contact Us at 206-795-5798 for a free evaluation of your case.