JEFFREY MATTHEWS FINANCIAL GROUP L.L.C.

01/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070100076-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: The Jeffrey Matthews Financial Group, L.L.C., Respondent Broker-Dealer CRD No. 41282 Pursuant to Rule 9216 of the FINRA Code of Procedure, The Jeffrey Matthews Financial Group, L.L.C. (the "firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2007010007601data-portal.finra.orgfinra.org

07/19/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077092001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Jeffrey Matthews Financial Group, LLC (Respondent) Member Firm · CRD No. 41282 Pursuant to FINRA Rule 9216, Respondent The Jeffrey Matthews Financial Group, L.L.C. (JMFG) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2023077092001data-portal.finra.orgfinra.org

07/26/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070602901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Jeffrey Matthews Financial Group, LLC (Respondent) Member Firm CRD No. 41282 Pursuant to FINRA Rule 9216, Respondent The Jeffrey Matthews Financial Group, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021070602901data-portal.finra.orgfinra.org

08/29/2005: NASD LETTER OF ACCEPTANCE WAIVER AND CONSENT TO: Department of Enforcement NASD RE: Jeffrey Matthews Financial Group LL.C, Respondent BD No. 41282 Pursuant to Rale 9216 of NASD Code of Procedure Jeffrey Matthews Financial Group L.L.C. (Jeffrey Matthews) submits this Lettter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference E9B2004025501finra.orgdata-portal.finra.org