MATTHEW J. DAVIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036026901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: Matthew J. Davis, Respondent General Securities Representative and Investment Company Products/Variable Contracts Representative CRD No. 4412731 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Matthew J. Davis ("Davis" or "Respondent"), submits this Letter of Acceptance, Waiver and
Reference 2013036026901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4412731

Other names1

Also known as1

MATTHEW JOHN DAVIS

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