KEVIN JOHN DAVIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/30/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050005911-01 To: Department of Enforcement NASD Re: Kevin John Davis General Securities Principal (CRD No. 3226294) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Kevin John 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 will not bring any future actions
Reference 2005000591101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3226294 |
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