Rich Trinitapoli is the Subject of a Suitability Dispute

Rich Trinitapoli (CRD #: 800958), a broker registered with Equitable Advisors, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on June 7, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations

On May 16, 2024, Rich Trinitapoli allegedly recommended unsuitable investments. 

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

• Age
• Risk tolerance
• Time horizon (i.e., how long the investor plans to hold the investment)
• Investing experience
• Tax status
• Financial goals

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.

Background Information 

Rich Trinitapoli has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination 
• Series 7TO General Securities Representative Examination 
• SIE – Securities Industry Essentials Examination 
• Series 1 Registered Representative Examination 
• Series 24 General Securities Representative Examination 

He is a registered broker in nine states. 

In his 49 years of experience, Rich Trinitapoli has registered with five firms: 

• Equitable Advisors (CRD #: 6627) 
• Mony Securities Corporation (CRD #: 4386) 
• Trusted Securities Advisors (CRD #: 24049) 
• The Mutual Life Insurance Company of New York (CRD #: 2873) 
• Equico Securities (CRD #: 6627) 
• The Equitable Life Assurance Society of the United States (CRD #: 4039) 

Kurta Law Can Help 

If you have worked with Rich Trinitapoli and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.