FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061952601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen James Sullivan (Respondent) General Securities Representative CRD No. 3123249 Pursuant to FINRA Rule 9216, Respondent Stephen James Sullivan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.