2021072053201 Sean Pong CRD 2406530 AWC vr (2023-1688775601104).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072053201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean Pong (Respondent) Former General Securities Representative CRD No. 2406530 Pursuant to FINRA Rule 9216, Respondent Sean Pong submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SEC, NASAA, FINRA to Co-Host Webinar on Identifying and Reporting Suspected Senior Financial Exploitation

Regulators to Discuss Protecting Seniors During World Elder Abuse Awareness Day

WASHINGTON—The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and FINRA will be co-hosting the Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation.

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