2021071026301 Tyler Rigsbee CRD 6351278 AWC va (2021-1628295687276).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071026301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tyler Rigsbee (Respondent) Former General Securities Representative CRD No. 6351278 Pursuant to FINRA Rule 9216, Respondent Tyler Rigsbee submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068089401 Jeanet C. Lee CRD 4766237 AWC rjr (2021-1628295687552).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068089401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeanet C. Lee (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4766237 Pursuant to FINRA Rule 9216, Respondent Jeanet C. Lee submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Dana S. Grosser

As Senior Vice President, Corporate Communications, Dana Grosser oversees all of FINRA’s internal and external communications functions, including media relations, digital and multimedia communications, and creative services.

Before joining FINRA in June 2021, Ms. Grosser served as Head of Corporate Public Relations and U.S. Crisis Communications Strategy at Vanguard.

SR-FINRA-2021-018

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.

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