January 2020 – Atlanta, GA
The FINRA records of E. Kyle Davis , a broker with Ameriprise FInancial Services discloses 2 prior regulatory events, a pending customer dispute and 3 prior customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In currently pending FINRA case 19-3563 a customer of his prior employer Raymond James Associates alleges negligence, breach of fiduciary duty and other claims in connection with an investment in a Unit Investment Trust (UIT). Damages of $500,000 are sought.
Davis worked for Raymond James from 2/2013-1/20219. He joined Ameriprise in 1/2019.
If you have questions about an account handled by E Kyle Davis, call for a no charge consultation with an experienced securities attorney .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900