SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 103498 / July 18, 2025 Admin. Proc. File No. 3-20703 In the Matter of the Application of THOMAS J. LYKOS, JR.

In July 2025, Spivey refused to appear for on-the-record testimony requested by FINRA pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010.

Between April 2021 and February 2025, Integral Wealth Securities failed to timely file with FINRA offering documents related to 18 private placements, in violation of FINRA Rules 5123 and 2010. For these violations, Integral Wealth Securities is censured and fined $20,000.

From October 2020 through January 2022, Roper engaged in various types of misconduct in connection with a profit-sharing agreement with a Schwab customer. Roper violated FINRA Rules 2150(c) and 2010 by directing the trades in the customer's account for a share of the customer's profits without receiving written authorization from Schwab or the customer.