BRIAN E. DAVIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT No.2005002810001 To: Department of Enforcement NASD Re: Brian E. Davis Investment Company and Variable Contracts Representative (CRD No. 2334949 ) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Brian E. Davis (Davis), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD
Reference 2005002810001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2334949 |
Other names1
Also known as1
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