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Davis Distributors, LLC

Davis Distributors, LLC (CRD #7975, Tucson, Arizona) received a censure and fine of $25,000. According to the findings, the firm failed to file a Form U-4 for an individual who was engaged in securities activities that required registration but was not properly registered. Additionally, the firm allowed an individual whose registration was inactive due to non-compliance with the Regulatory Element of continuing education to remain associated with the firm as a mutual fund wholesaler and to engage in activities that required registration. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C3A010033)

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