FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060065701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Zachary Scott Wagner, Respondent General Securities Representative CRD No. 6694074 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Zachary Scott Wagner ("Respondent" or "Wagner"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054826001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean P. Waggoner Investment Company and Variable Contracts Products Representative CRD No. 2748574 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Sean P. Waggoner submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Shawna Choate (CRD No. 2432397), Respondent. Disciplinary Proceeding No. 2016051209103 Hearing Officer LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 21, 2020 INTRODUCTION Disciplinary Proceeding No. 2016051209103 was filed on June 18, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Shawna Choate submitted an Offer of Settlement (Offer) to