2021072000901 J. Richard Matheis CRD 869179 AWC lp (2023-1695514805574).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072000901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: J. Richard Matheis
Former General Securities Representative
Former General Securities Principal
CRD No. 869179
Pursuant to FINRA Rule 9216, Respondent J. Richard Matheis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
FINRA Foundation and AFCPE Announce 2023 FINRA Foundation Military Spouse Fellows
Fellowship Program Grants Military Spouses the Opportunity to Achieve the AFC Credential and Help Address Unique Financial Circumstances in Military Communities
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the recipients of 2023 FINRA Foundation Military Spouse Fellowship.
2023078620901 Wesley Howard Triani CRD 1025539 AWC gg (2023-1695428393092).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078620901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Wesley Howard Triani (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 1025539
Pursuant to FINRA Rule 9216, Respondent Wesley Howard Triani submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
20-00107(3).pdf
Order to Confirm