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WESLEY TRIANI of Equity Services Expelled by FINRA
Equity Services Advisor Wesley Triani Expelled by FINRA
HAUPPAUGE, NEW YORK
Financial advisor Wesley Triani has been barred from the securities industry by FINRA. Triani, who previously worked with Equity Services, failed to respond to a FINRA investigation, which led to the expulsion. View his BrokerCheck here. View FINRA AWC Here.
Mr. Triani was the subject of a Rule 4530 filing, which is what led to the investigation by FINRA. Rule 4530 provides that firms are required to file a report with FINRA when an advisor is involved in certain conduct, including allegations of violating securities rules and regulations, allegations that the broker misappropriated customer funds, or is named as a respondent or defendant by a regulatory body. FINRA did not specify the grounds for which Triani was subject to a Rule 4530 filing.
Wesley Triani worked in Hauppauge, New York. He was a representative of Equity Services since February 2003. He had been in the securities since 2000.
Registered representatives are required to respond to FINRA’s investigation under FINRA Rule 8210. It is common that advisors are barred if they fail to respond to a FINRA investigation.