Wesley Howard Triani (also known as Wes Triani), of Hauppauge, New York, a stockbroker formerly registered with Equity Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to cooperate in a FINRA investigation. Letter of Acceptance, Waiver, and Consent No. 2023078620901 (Aug. 23, 2023).
FINRA’s investigation into Triani originated from a separate review concerning another FINRA member firm that made a filing under FINRA Rule 4530. FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions.
The AWC stated that on July 21, 2023, as a part of its ongoing investigation related to the Form 4530 filing, FINRA issued a formal request to Triani, asking for specific information and documents in accordance with Rule 8210. Triani, acknowledging receipt of the request, refused to comply. During a phone call between Triani’s counsel and FINRA on August 15, 2023, it was made clear that Triani would not be providing any of the requested documents or information at any time.
Therefore, Triani violated FINRA Rules 8210 and 2010.
Triani was associated with Equity Services Inc. as a stockbroker between February 21, 2003, and August 23, 2023.
