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.
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