Technical Notice

Holiday Reminder Regarding TRF Market Data

November 19, 2020

In observation of the Thanksgiving holiday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, November 26, 2020. Please be advised that the TRFs will close early on Friday, November 27, 2020. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.

Technical Notice

Holiday Reminder Regarding TRACE Market Data

November 19, 2020

In observation of the Thanksgiving holiday, the TRACE system will be closed on Thursday, November 26, 2020. Please be advised that the TRACE system will close early on Friday, November 27, 2020.  See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.

2018060312301 David T. Phillips CRD 3094195 AWC va (2020-1608337198896).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060312301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David T. Phillips, Respondent Former General Securities Representative CRD No. 3094195 Pursuant to FINRA Rule 9216, Respondent David T. Phillips submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064516901 John Hillman Timberlake CRD 2109445 AWC va (2020-1608337198506).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064516901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Hillman Timberlake (Respondent) Former General Securities Representative CRD No. 2109445 Pursuant to FINRA Rule 9216, Respondent John Hillman Timberlake submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059919702 Lynn Dale Cawthorne CRD 3211221 Order Accepting Offer of Settlement jlg (2020-1608337198389).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lynn Dale Cawthorne CRD No. 3211221, Respondent. Disciplinary Proceeding No. 2018059919702 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 16, 2020 INTRODUCTION Disciplinary Proceeding No. 2018059919702 was filed on August 25, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Lynn Dale Cawthorne

2017054755208 Efrain B. Trujillo CRD 3106482 AWC sl (2020-1608337197806).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054755208 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Efrain B. Trujillo (Respondent) General Securities Principal and General Securities Representative CRD No. 3106482 Pursuant to FINRA Rule 9216, Respondent Efrain B. Trujillo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017054755207 Brett S. Briggs CRD 1226255 AWC sl (2020-1608337197956).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054755207 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brett S. Briggs (Respondent) General Securities Principal, General Securities Sales Supervisor, and General Securities Representative CRD No. 1226255 Pursuant to FINRA Rule 9216, Respondent Brett S. Briggs 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 the condition that
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