Richard Joseph Jackson, of New York, New York, a stockbroker registered with Equity Services Inc., has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Jackson made misleading claims in communications with customers. Letter of Acceptance, Waiver, and Consent No. 2022076868701, (August…
Keith Craig Baron of Jericho, New York, a stockbroker formerly registered with Equity Services Inc., is the subject of an enforcement action initiated by the Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Baron based upon allegations that Baron engaged in fraud and made misrepresentations of material fact in connection…
Wesley Howard Triani (also known as Wes Triani), of Hauppauge, New York, a stockbroker formerly registered with Equity Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to cooperate in a FINRA investigation. Letter of Acceptance, Waiver, and Consent No. 2023078620901 (Aug. 23,…
Keith Craig Baron of Jericho, New York, a stockbroker registered with Equity Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensation based upon allegations that Baron “misappropriated funds” in connection with the sale of oil and gas investments during the time that Baron…
Lawrence Eugene Murphy of Edison New Jersey a stockbroker formerly registered with Equity Services Inc. has been terminated on October 11, 2016 based upon a civil action having been filed against him containing allegations of fraud. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on May 12, 2017, a customer initiated investment related civil…
John C. Edes, of East Greenwich, Rhode Island, a registered representative formerly registered with Equity Services, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into his business activities serving the basis of…