STEVEN JAMES DAVIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004039101 TO: Department of Enforcement NASD RE: Steven James Davis, Respondent CRD No. 1141258 Pursuant to Rule 9216 of NASD Code of Procedure, Steven James Davis ("Davis") submits 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 against me alleging
Reference E9B2004039101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1141258 |
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