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.