Andre Pierre Davis
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057640301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andre Pierre Davis, Respondent General Securities Representative CRD No. 1417097 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Andre Pierre Davis submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018057640301finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1417097 |
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