D.A. Davidson & Co.

06/15/2020: 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.

Reference 2018060923801data-portal.finra.orgfinra.org

11/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140404589-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: D.A. Davidson & Co., Respondent Broker-Dealer CRD No. 199 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, D.A. Davidson & Co. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2014040458901data-portal.finra.orgfinra.org

07/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090174176-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: D.A. Davidson & Co., Respondent Broker-Dealer CRD No. 199 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, D.A. Davidson & Co. (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. This AWC is

Reference 2009017417601finra.orgdata-portal.finra.org

04/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080152998 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: D.A. Davidson & Co. (CRD No. 199). Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, D.A. Davidson & Co. ("D.A. 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. This AWC is submitted on

Reference 2008015299801data-portal.finra.orgfinra.org

12/02/2019: 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.

Reference 2017055363301data-portal.finra.orgfinra.org

10/30/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050260301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: D.A. Davidson & Co., Respondent CRD No. 199 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, D.A. Davidson & Co. ("Davidson" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2016050260301data-portal.finra.orgfinra.org