FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2020066257302 Department of Enforcement, Complainant, v. John D. Sullivan CRD No. 2926996, Respondent COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On nine occasions, Respondent John D. Sullivan failed to provide documents and information FINRA requested pursuant to FINRA Rule 8210. As a result, Sullivan violated FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078191801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dima Munzer Abdulnour (Respondent) General Securities Representative CRD No. 7400818 Pursuant to FINRA Rule 9216, Respondent Dima Munzer Abdulnour submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.