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