Gino Ercolino is a Director in Treliant’s Wealth Management service area. He has over 20 years of experience as a financial regulator and attorney, serving in various leadership roles.
During his career as a securities regulator, Gino managed teams of attorneys, investigators, and examiners in hundreds of broker-dealer investigations. He supervised all phases of investigations, negotiations, settlements, and disciplinary hearings regarding potential violations of federal securities laws and self-regulatory organization (SRO) rules from the Financial Industry Regulatory Authority (FINRA), New York Stock Exchange (NYSE), and others. Throughout his career, Gino has also provided guidance on broker-dealer compliance requirements and rule interpretation.
Prior to joining Treliant, Gino held senior roles at FINRA and the NYSE. As Enforcement Director with FINRA, he managed complex investigations involving areas such as compliance and supervision, suitability and sales practices, Anti-Money Laundering/Customer Identification Programs (AML/CIP), advertising, email retention, data privacy, prospectus delivery, mutual funds, annuity transactions, trading practices, fraudulent activities, and financial accounting. Gino also served as FINRA Enforcement’s Liaison to State Securities Regulators, managing relationships and communications between various regulators and FINRA. Prior to that, he was Senior Counsel with FINRA and Trial Counsel with the NYSE, where he focused on complex and high-priority investigations. Gino started his career in private practice as a commercial litigator in a Boston law firm.
Gino holds a Juris Doctor, cum laude, from New England School of Law, an LLM in Banking and Financial Law from Boston University School of Law, and an undergraduate degree from Seton Hall University. He also earned a Certified Regulatory and Compliance Professional (CRCP) designation from the Aresty Institute for Executive Education at the Wharton School, University of Pennsylvania.