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Brian Davis Fired by Morgan Stanley Smith Barney

Brian Davis (CRD #: 1269412), a broker registered with UBS Financial Services, has been fired by Morgan Stanley Smith Barney. This is according to his BrokerCheck record, accessed on August 8, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On June 24, 2024, Morgan Stanley Smith Barney fired Brian Davis following allegations of concerns related to conflicts of interest with a customer arising from fiduciary appointments not fully disclosed to the firm and lack of full cooperation in a review. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Conflicts of interest may violate this rule. 

Background Information 

Brian Davis has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 52TO Municipal Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 13 states and is a registered investment adviser in Maryland. 

Kurta Law Can Help 

If you have worked with Brian Davis and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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