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Mark Davis Subject of Investor Allegations

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
August 27, 2023 at 10:08pm

Mark Davis (CRD #: 2730104), a broker registered with The Huntington Investment Company, is facing an investor dispute, according to his BrokerCheck record, accessed on August 27, 2023. Keep reading if you have questions about his conduct as a broker. 

On June 13, 2023, an investor alleged that Mark David did not explain his options for transferring his account from a predecessor bank’s managed investment platform, nor that transferring the account would have tax implications. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to explain tax implications may be a violation of this rule. 

Background Information 

Mark Davis has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in eight states and is a registered investment adviser in Michigan. 

Mark Davis has registered with the following firms: 

  • The Huntington Investment Company (CRD #: 16986) 
  • Huntington Financial Advisors (CRD #: 16986) 
  • Cetera Investment Adviser (CRD #: 105644) 
  • Raymond James & Associates (CRD #: 705) 
  • NatCity Investments (CRD #: 17490) 
  • Primevest Financial Services (CRD #: 15340) 
  • Princor Financial Services Corporation (CRD #: 1137) 
  • IDS Life Insurance Company (CRD #: 6321) 
  • Long Grove Trading Co. (CRD #: 10078) 

Kurta Law Can Help

If you worked with Mark Davis and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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. The firm only earns a fee if our securities attorneys recover money on your behalf.

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