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.
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.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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