FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN JAMES SULLIVAN (CRD No. 3123249), Respondent. Disciplinary Proceeding No. 2018056490311 Hearing Officer–BDC DEFAULT DECISION August 23, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide testimony and failing to provide documents and information requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071175101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jessica Y. Jung (Respondent) General Securities Representative CRD No. 4922155 Pursuant to FINRA Rule 9216, Respondent Jessica Y. Jung 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. 2021070904301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Osaic Services, Inc., formerly known as SagePoint Financial, Inc. (Respondent) Member Firm CRD No. 133763 Pursuant to FINRA Rule 9216, Respondent Osaic 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.