FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. VICTOR A. RIGONI, III CRD No. 4272056, Respondent. Disciplinary Proceeding No. 2018060840101 Hearing Officer—DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 24, 2021 INTRODUCTION Disciplinary Proceeding No. 2018060840101 was filed on August 3, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Victor A. Rigoni, III submitted an Offer

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054411901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Richard Reynolds, Respondent Former Registered Representative CRD No. 2705340 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Scott Richard Reynolds submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.