Regulatory Notice 21-42

Summary

FINRA is alerting firms to a recently identified vulnerability in Apache Log4J software, which is an open-source, Java-based logging utility widely used by enterprise applications and cloud services. The “Log4Shell” vulnerability presents risk for member firms because they may be using this software in internal applications, or the software may be embedded in third-party software packages. In addition, many applications written in Java are potentially vulnerable.

2021070514901 Randyl R. Taber CRD 1399854 AWC jlg (2022-1642119616434).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070514901 TO: Department of Enforcement Financial Regulatory Authority (FINRA) RE: Randyl R. Taber General Securities Representative CRD No. 1399854 Pursuant to FINRA Rule 9216, Respondent R. Robert Taber submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,
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