2021070708401 Penny S. Morgan CRD 2153652 AWC lp (2022-1669594795078).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070708401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Penny S. Morgan (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 2153652
Pursuant to FINRA Rule 9216, Respondent Penny S. Morgan submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2021071333401 Trent J. Davis CRD 5523922 AWC gg (2022-1669594796209).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071333401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Trent J. Davis (Respondent)
Former General Securities Representative
CRD No. 5523922
Pursuant to FINRA Rule 9216, Respondent Trent J. Davis submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
SR-FINRA-2022-029
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-027 and the temporary amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015 from October 31, 2022, to January 31, 2023.