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2020066257301 Brokers International Financial Services, LLC CRD 139627 AWC gg (2023-1685924403745).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066257301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brokers International Financial Services, LLC (Respondent) Member Firm CRD No. 139627 Pursuant to FINRA Rule 9216, Respondent Brokers International Financial Services, LLC (BIF) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057298701 Donnie E. Ingram CRD 1416971 and Centaurus Financial, Inc. CRD 30833 Order Accepting Offer of Settlement lp (2023-1685924403771).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2018057298701 Hearing Officer--BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 5, 2023 Department of Enforcement, Complainant, v. Donnie E. Ingram CRD No. 1416971, and Centaurus Financial, Inc. CRD No. 30833, Respondents. INTRODUCTION Disciplinary Proceeding No. 2018057298701 was filed on September 27, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondents Donnie E. Ingram and Centaurus Financial, Inc.