Stephen James Sullivan

10/21/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061952601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen James Sullivan (Respondent) General Securities Representative CRD No. 3123249 Pursuant to FINRA Rule 9216, Respondent Stephen James Sullivan 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 2019061952601finra.orgdata-portal.finra.org

08/23/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN JAMES SULLIVAN (CRD No. 3123249), Respondent. Disciplinary Proceeding No. 2018056490311 Hearing Officer–BDC DEFAULT DECISION August 23, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide testimony and failing to provide documents and information requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010.

04/30/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen James Sullivan (CRD No. 3123249), Respondent. Disciplinary Proceeding No. 2018056490311 COMPLAINT The Department of Enforcement alleges: SUMMARY In January and February 2024, Respondent Stephen James Sullivan (“Sullivan” or “Respondent”), failed to provide on-the-record (“OTR”) testimony requested pursuant to FINRA Rule 8210.

Reference 2018056490311data-portal.finra.orgdata-portal.finra.orgfinra.org