BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Stephen Walter Pendergast, Roxbury, CT, Respondent. DECISION Expedited Proceeding No. ARB240006 Dated: September 23, 2024. Respondent failed to pay fully an arbitration award and failed to establish a bona fide inability-to-pay defense.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056490321 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher P. Gallo (Respondent) General Securities Representative CRD No. 6045888 Pursuant to FINRA Rule 9216, Respondent Christopher P. Gallo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069460001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Independent Financial Group, LLC (Respondent) Member Firm CRD No. 7717 Pursuant to FINRA Rule 9216, Respondent Independent Financial Group, LLC (IFG) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082013401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ceondre Colvin (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7329753 Pursuant to FINRA Rule 9216, Respondent Ceondre Colvin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077032101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: tastytrade, Inc. (Respondent) Member Firm CRD No. 277027 Pursuant to FINRA Rule 9216, Respondent tastytrade, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.