FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAWN BENNETT (CRD No. 1567051), Respondent. Disciplinary Proceeding No. 2015047682402 Hearing Officer-CC DEFAULT DECISION Date: September 18, 2019 Respondent Dawn Bennett failed four times to appear and provide testimony requested pursuant to FINRA Rule 8210 and failed twice to produce

Corrected1 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059315001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roxana Sophia McKinney, Respondent CRD No. 4830895 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roxana Sophia McKinney submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052475702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Pace, Respondent CRD No. 2481049 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Anthony Pace submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 87638 / November 27, 2019 Admin. Proc. File No. 3-18150 In the Matter of the Application of THADDEUS J. NORTH For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDINGS Failure to Enforce Written Supervisory Procedures Registered representative of former FINRA member firm appeals from FINRA

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kane H. Waller CRD No. 4537969, Respondent. Disciplinary Proceeding No. 2017055164001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On three occasions from December 2, 2011 to January 17, 2017 (the "Relevant

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055363301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: D.A. Davidson & Co., Respondent Member Firm CRD No. 199 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent D.A. Davidson & Co. 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. 2018056487801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Murry M. Shapero, Respondent General Securities Principal, General Securities Representative, and General Securities Sales Supervisor CRD No. 1846138 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Murry M. Shapero submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations