FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Alon Zak CRD No. 5734529, Respondent. Disciplinary Proceeding No. 2020065349803 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From April 2019 through August 2019, while registered with FINRA member firm Pruco Securities, LLC (Pruco Securities), Respondent Alon Zak created three fictitious life

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068758101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Wright Jr. (Respondent) Former General Securities Representative CRD No. 3048195 Pursuant to FINRA Rule 9216, Respondent William Wright Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.