Cease and desist order issued to Syntax Financial Group and Clarence Shaw.

LEGAL NOTICE
THE OHIO DIVISION OF SECURITIES, PURSUANT TO OHIO REVISED CODE
CHAPTER 1707 AND CHAPTER 119, HAS ISSUED A CEASE AND DESIST ORDER TO
SYNTAX FINANCIAL GROUP AND CLARENCE SHAW (HEREINAFTER
"RESPONDENTS") ON MARCH 30, 2026, UNDER DIVISION ORDER 26-003. THE
ORDER FINDS THAT RESPONDENTS VIOLATED THE FOLLOWING SECTIONS OF
THE OHIO REVISED CODE: SECTION 1707.44(B)(4) BY KNOWINGLY MAKING
FALSE REPRESENTATIONS CONCERNING A MATERIAL FACT FOR THE PURPOSE
OF SELLING SECURITIES IN THIS STATE; SECTION 1707.44(G) BY, IN SELLING
SECURITIES, KNOWINGLY ENGAGING IN ACTS WHICH WERE FRAUDULENT; AND
SECTION 1707.44(C)(1) BY SELLING UNREGISTERED SECURITIES IN THE STATE
OF OHIO FOR WHICH NO EXEMPTION APPLIED.
SYNTAX FINANCIAL GROUP AND CLARENCE SHAW ARE HEREBY NOTIFIED
THAT THEY MAY APPEAL THIS ORDER BY FILING ANOTICE OF APPEAL WITH THE
COURT OF COMMON PLEAS OF FRANKLIN COUNTY OR THE COURT OF COMMON
PLEAS OF THE OHIO COUNTY IN WHICH THE BUSINESS OF THE PARTY IS
LOCATED OR IN WHICH THE PARTY IS A RESIDENT, SETTING FORTH THE ORDER
APPEALED FROM AND STATING THAT THE AGENCY'S ORDER IS NOT SUPPORTED
BY RELIABLE, PROBATIVE, AND SUBSTANTIVE EVIDENCE AND IS NOT IN
ACCORDANCE WITH LAW. THE NOTICE OF APPEAL MAY, BUT NEED NOT, SET
FORTH THE SPECIFIC GROUNDS OF THE PARTY'S APPEAL BEYOND THE
STATEMENT THAT THE AGENCY'S ORDER IS NOT SUPPORTED BY RELIABLE,
PROBATIVE, AND SUBSTANTIVE EVIDENCE AND IS NOT IN ACCORDANCE WITH
LAW. THE NOTICE OF APPEAL SHALL ALSO BE FILED WITH THE OHIO DIVISION
OF SECURITIES, 77 SOUTH HIGH STREET, 22ND FLOOR, COLUMBUS, OHIO 43215.
IN FILING A NOTICE OF APPEAL WITH THE AGENCY AND COURT, THE NOTICE
THAT IS FILED MAY BE EITHER THE ORIGINAL NOTICE OR A COPY OF THE
ORIGINAL NOTICE. SUCH NOTICES OF APPEAL SHALL BE FILED WITHIN FIFTEEN
(15) DAYS OF THE DATE OF PUBLICATION OF THIS NOTICE AS PROVIDED IN
SECION 119.05 AND 119.12 OF THE OHIO REVISED CODE.
Publication Dates
LWOO0510345