Wesley Triani Barred by FINRA
Wesley Triani (CRD #: 1025539) has been barred by FINRA , according to his BrokerCheck record, accessed on September 27, 2023. He was most recently registered as a broker with Equity Services. If you have concerns about his alleged conduct, keep reading.
On August 23, 2023, FINRA barred Wesley Triani. Wesley Triani consented to the findings that he refused to provide documents and information requested by FINRA as part of its investigation into the circumstances giving rise to a Form 4530 filing. FINRA Rule 4530 requires firms to report written customer complaints and to provide copies of specified civil and criminal actions. The bar agreement does not provide futher detail. Refusal to provide information per FINRA’s request violates FINRA Rule 8210.
FINRA Rule 8210
FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 8210 also violate this rule.
You can read a copy of the bar agreement here.
Background Information
Wesley Triani has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
During his 22 years in the industry, he has registered with two firms: Equity Services (CRD #: 265) and Tower Square Securities (CRD #: 833).
Kurta Law Can Help
If you worked with Wesley Triani and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want 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.
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