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.

2017056224501 SpeedTrader, Inc., CRD 107403 AWC gg (2024-1729729213712).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056224501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SpeedTrader, Inc., formerly known as Mint Global Markets, Inc. (Respondent) Member Firm CRD No. 107403 Pursuant to FINRA Rule 9216, Respondent SpeedTrader, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024083153301 Jessica Lynn Pinkard CRD 7809362 AWC gg (2024-1729729213819).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024083153301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jessica Lynn Pinkard (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7809362 Pursuant to FINRA Rule 9216, Respondent Jessica Lynn Pinkard submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Julie Glynn

Julie Glynn is the Senior Vice President of Enforcement Legal. In this role, Ms. Glynn is a senior legal advisor to the Executive Vice President and Head of Enforcement. She is responsible for monitoring and advising on high-impact and noteworthy investigations and disciplinary actions, including litigation, across the Enforcement department and in coordination with FINRA’s Regulatory Operations teams, as well as managing the performance of the Enforcement attorney teams.

Subscribe to