FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059249501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Van Ham, Respondent CRD No. 1231636 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Van Ham 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 OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fusion Analytics Securities, LLC CRD No. 124245, Respondent. Disciplinary Proceeding No. 2018058871601 Hearing Officer--DW ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 16, 2020 INTRODUCTION Disciplinary Proceeding No. 2018058871601 was filed on April 10, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Fusion Analytics

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Julian Jay Piekarczyk CRD No. 1128773, Respondent. Disciplinary Proceeding No. 2018058117101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period 2014 through 2017 (the "Relevant Period"), Respondent Julian Jay Piekarczyk engaged in an unethical course of conduct by taking advantage of his relationship

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.