Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call
1-800-259-9010


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)

Did Davis Distributors, LLC manage your investments?

 

 

If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation