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2021070875201 Park Avenue Securities LLC CRD 46173 AWC vr (2024-1729815611355).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070875201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Park Avenue Securities LLC (Respondent) Member Firm CRD No. 46173 Pursuant to FINRA Rule 9216, Respondent Park Avenue Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023080627901 Independent Financial Group, LLC CRD 7717 AWC vr (2024-1729815611414).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080627901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Independent Financial Group, LLC (Respondent) Member Firm CRD No. 7717 Pursuant to FINRA Rule 9216, Respondent Independent Financial Group, LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078116101 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 and BofA Securities, Inc. CRD 283942 AWC vr (2024-1729729213719).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078116101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Member Firm CRD No. 7691 BofA Securities, Inc. (Respondent) Member Firm CRD No. 283942 Pursuant to FINRA Rule 9216, Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated and BofA Securities, Inc.