J.V.B. Financial Group LLC

11/06/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047526601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: J.V.B. Financial Group, LLC, Respondent FINRA Member Firm BD No. 149758 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2015047526601data-portal.finra.orgfinra.org

06/23/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160509678-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: J.V.B. Financial Group, LLC, Respondent Broker-Dealer CRD No. 149758 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.V.B. Financial Group, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2016050967801finra.orgdata-portal.finra.org

07/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080132126-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: JVB Financial Group, LLC, Respondent Broker-Dealer CRD No. 104412 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, JVB Financial Group, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2008013212601data-portal.finra.orgfinra.org