FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Charles Grande CRD No. 1219255, Respondent. Disciplinary Proceeding No. 2018060128401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On November 13, 2023, and November 28, 2023, FINRA sent Respondent Michael Charles Grande (“Grande”) request letters pursuant to FINRA Rule 8210, requiring him to provide information related to mutual fund transactions that he recommended to customers. Grande failed to provide information in response to these requests.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081090901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tyler Miller (Respondent) Former Associated Person CRD No. 7686849 Pursuant to FINRA Rule 9216, Respondent Tyler Miller 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. 2021069368901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: EarlyBirdCapital, Inc. (Respondent) Member Firm CRD No. 28629 Pursuant to FINRA Rule 9216, Respondent EarlyBirdCapital, Inc. 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. 2022076531801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Justine M. Cantafio (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6158299 Pursuant to FINRA Rule 9216, Respondent Justine M. Cantafio 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. 2021072620401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Meeder Distribution Services, Inc. (Respondent) Member Finn CRD No. 36773 Pursuant to FINRA Rule 9216, Respondent Meeder Distribution Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.