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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015046503001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.