Gino Ercolino is a Director in Treliant’s Securities Compliance & Investigations service area. He has over 20 years of experience as an attorney and financial regulator, serving in various leadership roles. Gino assists broker-dealers and registered investment advisors with satisfying their securities compliance and regulatory program obligations. He works with corporate clients to manage all phases of enforcement, regulatory, and corporate investigations. In the global financial crimes compliance space, Gino advises clients on Anti-Money Laundering (AML)/Bank Secrecy Act (BSA)/Office of Foreign Assets Control (OFAC) regulatory enforcement action remediation, governance obligations, and risk management.
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, AML/Customer Identification Programs (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 and litigations. 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. Gino is admitted to practice law in New York, New Jersey and Massachusetts.
Areas of Specialization
- Anti-Money Laundering / Bank Secrecy Act
- Corporate Investigations
- Email Review / Surveillance
- Financial Investigations
- Government Investigations / Whistleblower Response
- Litigation Support / Expert Witness Testimony
- Office of the General Counsel
- Regulatory Relations
- Retail Sales Incentive Practices
- Securities Compliance / Brokerage