Thomas Davis – Thomas A. Davis, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Thomas Davis was a previously licensed broker/financial advisor with Wells Fargo Advisors, LLC in Hilton Head, South Carolina. FINRA reports that Thomas Davis was barred from the securities and investment banking industry in November 2018.
ACCORDING TO FINRA: Thomas Davis was named a respondent in a FINRA complaint alleging that Thomas Davis converted approximately $2,226 from an affiliated bank of Thomas Davis’ member firm without authorization. The complaint alleges that Thomas Davis did so by issuing unwarranted cash credits to five bank customers, purportedly on behalf of the bank, and subsequently withdrawing those amounts from the bank customers’ accounts without their knowledge or authorization. The complaint also alleges that Thomas Davis failed to appear and provide testimony to FINRA.
If you lost any money on investments with Thomas Davis, you may be able to recover your losses. If you lost money on investments with Thomas Davis and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Thomas Davis’ conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Thomas Davis and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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