2020069007201 Joia Evans CRD 6328012 AWC sl (2021-1620606009514).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020069007201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joia Evans (Respondent) Former General Securities Representative CRD No. 6328012 Pursuant to FINRA Rule 9216, Respondent Joia Evans submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064947801 Dannia Ferreira CRD 7154160 AWC sl (2021-1620606008776).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064947801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dannia Ferreira (Respondent) CRD No. 7154160 Pursuant to FINRA Rule 9216, Respondent Dannia Ferreira submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059223401 Independent Financial Group, LLC CRD 7717 AWC sl (2021-1620606010924).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059223401 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 (IFG) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

IM-Section 4(b)(1) and (e) Exemption from Certain Registration and Membership Application Fees for Certain NYSE and NYSE American LLC Member Organizations

NYSE and NYSE American LLC member organizations that become members of FINRA pursuant to IM-1013-1 and IM-1013-2, respectively, shall not be assessed the fee set forth in Section 4(b)(1) to Schedule A of the FINRA By-Laws for the initial Form U4 filed by firms for the registration of any representative or principal associated with the member organization at the time a firm submits its application for FINRA membership. Such firms also shall not be assessed the membership application fee set forth in Section 4(e) to Schedule A of the FINRA By-Laws.

2019064916001 Jared Ailstock CRD 5360407 AWC va (2021-1620519609173).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064916001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jared Ailstock (Respondent) Former Investment Banking Representative CRD No. 5360407 Pursuant to FINRA Rule 9216, Respondent Jared Ailstock submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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