Donna Jean Parker

On April 21, 2008, the Washington Securities Division entered into a Consent Order with Donna Jean Parker (�Respondent�). The Securities Division had previously entered a Summary Order Suspending Securities Salesperson and Investment Adviser Representative Registration and Notice of Intent to Revoke Registration against Respondent on February 1, 2008. The Division alleged that Parker, while employed as a securities salesperson and investment adviser representative for Merrill Lynch, engaged in dishonest and unethical practices by forging signatures of employees at Merrill Lynch, forging the signature of a customer, converting $20,000 in customer funds, and executing a transaction on behalf of a customer without authorization to do so. Respondent neither admitted nor denied the Findings of Fact and Conclusions of Law. It was agreed and ordered that Respondent�s securities salesperson and investment adviser representative licenses shall be revoked. It was further agreed and ordered that Respondent shall not apply for registration as a broker-dealer, investment adviser, securities salesperson, or investment adviser representative for ten years from the date of entry of the Consent Order. The Respondent agreed to pay $2,000 for investigation costs. Respondent waived her right to a hearing and to judicial review of this matter.

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