BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Dennis A. Mehringer, Jr. Altadena, CA, Respondent. DECISION Complaint No. 2014041868001 Dated: June 15, 2020 Registered representative: (1) engaged in unsuitable short-term trading of mutual funds in a customer's accounts; (2) exercised discretion in the

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060923801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: D.A. Davidson & Co., Respondent FINRA Member Firm BD No. 199 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent D.A. Davidson & Co. ("Davidson" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, VS. Brian Colin Doherty Fair Haven, NJ, Respondent. DECISION Complaint No. 2015047005801 June 15, 2020 Registered representative engaged in a fraudulent, prearranged trading scheme to enable his customer, a proprietary trader at another member firm, to evade that firm’s aged-inventory policy. Held, findings affirmed and sanctions modified.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adam James Makkai (CRD No. 4025159), Respondent. DISCIPLINARY PROCEEDING No. 2018058924502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2017 and March 2018 (the "Relevant Period"), Adam James Makkai improperly shared approximately $27,000 in commissions with an unregistered person.