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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.

2018059242801 Gregory Walter McCloskey CRD 2820510 Order Accepting Offer sl (2021-1620519609226).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory Walter McCloskey, CRD No. 2820510, Respondent. Disciplinary Proceeding No. 2018059242801 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 7, 2021 INTRODUCTION Disciplinary Proceeding No. 2018059242801 was filed on December 1, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Gregory Walter McCloskey)

2019062898303 Henry Clay Smith II CRD 1736102 Complaint sl (2021-1620519609097).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Henry Clay Smith II CRD No. 1736102, Respondent. Disciplinary Proceeding No. 2019062898303 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 30, 2013, and December 18, 2020, Respondent Henry Clay Smith II, the chief executive officer and chief compliance officer of Supreme Alliance, LLC, failed to develop a written Identity Theft Prevention Program reasonably designed to detect
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