2019064511202 Dana H. Davis CRD 1707708 AWC lp (2023-1682900402246).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064511202
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Dana H. Davis (Respondent)
General Securities Representative
CRD No. 1707708
Pursuant to FINRA Rule 9216, Respondent Dana H. Davis submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.