Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.
On May 8, 2024, KEVIN ELIJAH DAVIS (KEVIN E DAVIS), was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm, according to FINRA’s BrokerCheck. Davis was registered as a broker and as an investment advisor. KEVIN E DAVIS was with LPL FINANCIAL INC of Dallas, Texas from 09/08/2009 until 01/11/2023. Davis was accused of failing to notify his firm about a payment he made to a family member during his employment.
According to a recent article in Financial Advisor IQ, KEVIN E DAVIS also had started his own firm, Davis Financial Services, in February of 2010. He has been listed as the sole owner and managing member since February of 2022. According to the website, Davis Financial Services provides investment, retirement and distribution strategies, financial and estate planning, and risk management analysis. According to the latest Form ADV, Davis Financial Services had $56 million under management across 225 accounts as of Oct. 31.
Without admitting or denying FINRA’s findings, KEVIN E DAVIS, consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection to its investigation that Davis allegedly failed to timely disclose to his member firm a loan made to a family member, according to FINRA’s BrokerCheck.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, KEVIN E DAVIS was in the securities industry for 38 years and was listed with 4 firms.
If you or a family member have experienced financial losses due to the actions or recommendations of KEVIN E DAVIS, previously listed with LPL FINANCIAL INC of Dallas, Texas, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationally before FINRA on a contingency fee basis.
Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.
A pending customer claim on the BrokerCheck report of John Ravsten (CRD: 5634077) alleges $118,000 in damages. The claimant alleges misrepresentation and says the investment did not suit the claimant's situation.
A pending $2,500,000 customer claim over DST investments appears on the BrokerCheck report of Wendy Kretschmer (CRD: 3111589). The claimants allege that WestPark recommended the investments, and the claim remains open.
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