2018058742701 John P Borne CRD 4352826 AWC sl (2020-1605313168103).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058742701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John P. Borne, Respondent Former Registered Representative CRD No. 4352826 In accordance with FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John P. Borne submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063229301 Marcus A. Beasley CRD 3157595 AWC sl (2020-1605313168336).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063229301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marcus A. Beasley (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 3157595 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Marcus A. Beasley submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

Information Notice - 10/15/20

Summary

A key element in any firm’s cybersecurity program is a robust authentication process, i.e., the method that confirms that an authorized user seeking access to a firm’s information technology systems is who they say they are.1 This process typically relies on one or more “factors,” such as a password or personal identification number (PIN) code, to provide the authentication.

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