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.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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