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Kevin Davis Barred by FINRA

Kevin Davis (CRD #: 1295560) has been barred by FINRA. This disclosure appears on his BrokerCheck record, accessed on June 28, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Action 

On May 8, 2024, Kevin Davis consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony by FINRA in connection to its investigation that he failed to timely disclose to his member firm a loan made to a family member. 

You can read a copy of the bar here

FINRA Rule 3240

FINRA Rule 3240 describes the limited circumstances under which brokers may borrow from or lend to clients, such as loans between immediate family members.

Background Information 

Kevin Davis has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination
  • Series 22 Direct Participation Programs Representative Examination 
  • Series 24 General Securities Representative Examination 
  • Series 39 Direct Participation Programs Principal Examination 

During his 38 years of experience, Kevin Davis has registered with the following firms: 

  • LPL Financial (CRD #: 6413) 
  • Mutual Service Corporation (CRD #: 4806) 
  • Titan/Value Equities Group (CRD #: 6359) 
  • FSC Securities Corporation (CRD #: 7461) 

Kurta Law Can Help 

If you have worked with Kevin 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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