Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 21, 2017 indicate that former Florida-based Raymond James & Associates broker/adviser Keith Davis is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 2292126).
Keith Davis has spent 25 years in the securities industry and has been registered with Raymond James & Associates in Orlando, Florida since 2004. Previous registrations include UBS Financial Services in Weehawken, New Jersey; Josephthal Lyon & Ross in New York, New York; and Chatfield Dean & Company in Greenwood Village, Colorado (1992-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 17, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 23, 1992; Series 31 (Futures Managed Funds Examination), which he obtained on December 16, 1997; and Series 7 (General Securities Representative Examination), which he obtained on December 21, 1992. He is a registered broker and investment advisre with seven US states: Alabama, California, Florida, Georgia, Idaho, North Carolina and South Carolina. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one pending customer complaint and two denied customer complaints.
In November 2017 a customer alleged Keith Davis, while employed at Raymond James & Associates, breached his fiduciary duty, acted negligently, breached contract, and violated FINRA rules. The customer is seeking $55,000 in damages in the pending complaint.
In 2001 a customer alleged Keith Davis, while employed at UBS Painewebber, failed to recommend the high risk of an investment or that it would be up for redemption by June 2001. The customer sought unspecified damages in the complaint, which was denied.
If you or someone you know has lost money investing with Keith Davis, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.