Articles Tagged with Sean Waggoner

Sean Waggoner of Houston, Texas submitted a Letter of Acceptance, Waiver, and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority for failing to disclose outside securities transactions. Waggoner was formerly registered as an Investment Company and Variable Contracts Products Representative through LPL Financial. FINRA alleged that between 2010 and 2016, Waggoner made at least eight private securities transactions without prior written notice to his firm. FINRA and NASD Rules require prior written notice to the member firm if you are engaging in private securities transactions. FINRA alleged that Waggoner violated NASD Rule 3050 and FINRA Rule 2010. Without admitting or denying the FINRA findings Waggoner agreed to the sanctions and was suspended from association with any FINRA member for two months, fined $10,000, and ordered to take additional education concerning registered representative responsibilities. Continue Reading

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