FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077314501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James P. Pelletiere (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2628708 Pursuant to FINRA Rule 9216, Respondent James P. Pelletiere (Pelletiere) 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. 2023078907901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vivek Tangudu (Respondent) Former Associated Person CRD No. 7429841 Pursuant to FINRA Rule 9216, Respondent Vivek Tangudu 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. 2020068391501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ravid Gold (Respondent) Former General Securities Principal CRD No. 6314469 Pursuant to FINRA Rule 9216, Respondent Ravid Gold 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 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.