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.