William Davis – Financial Advisor William Davis Discharged from Ameriprise Financial Services and Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
William Davis, William George Davis CRD #811559
William Davis was a previously licensed financial advisor with Ameriprise Financial Services, Inc. and UBS Financial Services, Inc. According to William Davis’ CRD, William Davis was discharged from Ameriprise Financial in July 2018. According to William Davis’ CRD, William Davis was allegedly terminated for violations of company policy related to solicitation of securities not approved for solicitation, mis-marking trades, and failure to comply with supervision.
According to FINRA, William Davis was suspended from the securities industry in October 2019. According to FINRA allegations, during the period May 1, 2018 through June 29, 2018, William Davis mismarked eight trades in seven customer accounts as “unsolicited” when, in fact, those trades were solicited.
If you lost money on investments with William 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 against concerning William Davis’s 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 William 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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