WFG INVESTMENTS INC

06/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016279101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent CRD No. 22704 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WFG Investments, Inc. ("WFG" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2009016279101data-portal.finra.orgfinra.org

08/07/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062003014607 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent CRD No. 22704 Wilson H. Williams General Securities Principal CRD No. 834161 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, WFG Investments, Inc. ("WFG"), Wilson H. Williams ("Williams"), and

Reference E062003014607data-portal.finra.orgfinra.org

03/31/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120330811-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent Broker-Dealer CRD No. 22704 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WFG Investments, Inc. (the “firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2012033081101data-portal.finra.orgfinra.org

12/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140425981-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent Broker-Dealer CRD No. 22704 Pursuant to FINRA Rule 92I6 of FINRA's Code of Procedure, WFG Investments, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014042598101data-portal.finra.orgfinra.org

12/09/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060068317-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent Broker-Dealer CRD No. 22704 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WFG Investments, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2006006831701data-portal.finra.orgfinra.org

06/10/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041680101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent CRD No. 22704 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WFG Investments, Inc. ("WFG" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2014041680101data-portal.finra.orgfinra.org

05/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025624601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent CRD No. 22704 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WFG Investments, Inc. ("WFG" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on

Reference 2011025624601data-portal.finra.orgfinra.org

03/14/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025332201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent (CRD No. 22704) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WFG Investments, Inc., (the "firm" or "WFG") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2010025332201finra.orgdata-portal.finra.org

05/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045755003 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent Member Firm CRD No. 22704 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent WFG Investments, Inc. ("WFG," the "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2015045755003data-portal.finra.orgfinra.org

06/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080042794-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent Broker-Dealer CRD No. 22704 Pursuant to Rule 9216 of the FINRA Code of Procedure, WFG Investments, Inc. (f/k/a The (Wilson) Williams Financial Group) (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2006004279401finra.orgdata-portal.finra.org

12/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035346501 TO: Department ot Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WFG Investments, Inc., Respondent Member Firm CRD No. 22704 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent WFG Investments, Inc. ("WFG," the "Firm,'' or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2013035346501data-portal.finra.orgfinra.org