ARB240006-Pendergast-NAC (2024-1735518005004).pdf
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.
2018056490321 Christopher P. Gallo CRD 6045888 AWC vr (2024-1735345202688).pdf
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.
2021069460001 Independent Financial Group, LLC CRD 7717 AWC vr (2024-1735345209278).pdf
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.
2024082013401 Ceondre Colvin CRD 7329753 AWC vr (2024-1735345202685).pdf
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.
2023077032101 tastytrade, Inc. CRD 277027 AWC vr (2024-1735345202684).pdf
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.