John Davis Allegedly Failed to Comply with an Arbitration Award

John Davis (CRD #: 3028243), a broker registered with Raymond James Financial Services, is the subject of a FINRA suspension. This is according to his BrokerCheck record, accessed on October 11, 2024. Keep reading if you have questions concerning his alleged conduct. 

Regulatory Action 

On August 6, 2024, FINRA alleged John Davis failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. 

FINRA issued an expedited decision where it determined that he did not have a bona fide inability to pay or make a meaningful payment toward the award. 

FINRA also ordered John Davis to pay $2,338.28.

Background Information 

John Davis has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products/ Variable Contracts Representative Examination 

He is a registered broker in six states and is a registered investment adviser in North Carolina. 

John Davis has registered with six firms: 

• Raymond James Financial Services (CRD #: 6694) 
• Raymond James Financial Services Advisors (CRD #: 149018) 
• Suntrust Advisory Services (CRD #: 283390) 
• Suntrust Investment Services (CRD #: 17499) 
• First Citizens Investor Services (CRD #: 44430) 
• Nationwide Securities (CRD #: 11173) 

Kurta Law Can Help 

If you worked with John 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.