November 30, 2023

FINRA Issues Sanctions To Wesley Triani

Stock Broker Barred By FINRA

Soreide Law Group is currently conducting an investigation into potential claims on behalf of investors who may have incurred financial losses involving securities broker and financial advisor, Wesley Howard Triani (also known as Wes Triani) [CRD#: 1025539, Hauppauge, New York]. Triani worked for Equity Services Inc. [CRD#: 265] from February 2003 to August 2023. Notably, Triani has been sanctioned by the Financial Industry Regulatory Authority (FINRA) for non-compliance with regulatory requests, culminating in a bar from associating with any FINRA member.

Triani Sanctioned By Financial Industry Regulatory Authority For Non-Compliance With Regulatory Requests

Evidently, the Financial Industry Regulatory Authority (FINRA) issued Case: 2023078620901 sanctioning Wesley Triani for infractions.

The case against Wesley Triani stemmed from his non-compliance with a FINRA investigation. The sequence of events began with FINRA's evaluation of a disclosure filed by a member firm under FINRA Rule 4530. On July 21, 2023, in connection to the Form 4530 filing, FINRA requested certain documents and information from Triani. Triani acknowledged receipt of the request but also confirmed his decision not to produce the documents or information at any point. This action directly violated FINRA Rules 8210 and 2010.

Did you experience losses because of Wesley Triani? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Triani and brokerage firms he worked for deny accusations of sales practice violations.

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