Information Notice – 1/23/20

Summary

The United States Department of Homeland Security (DHS) has issued a bulletin under the National Terrorism Advisory System summarizing the heightened risk of potential cyber and physical attacks by Iran against the United States.1 This Notice outlines steps firms may consider taking to be prepared and respond to any cyber attacks and other business disruptions that may occur.

2018060065701 Zachary Scott Wagner CRD 6694074 AWC va (2020-1582244368387).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060065701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Zachary Scott Wagner, Respondent General Securities Representative CRD No. 6694074 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Zachary Scott Wagner ("Respondent" or "Wagner"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2017054826001 Sean P. Waggoner CRD 2748574 AWC va (2020-1582244368004).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054826001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean P. Waggoner Investment Company and Variable Contracts Products Representative CRD No. 2748574 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Sean P. Waggoner 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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