Public records published by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 indicate that New York-based National Securities Corporation broker/adviser Rick Davidson has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davidson (CRD# 1315998).
Rick Davidson has spent 32 years in the securities industry and has been registered with National Securities Corporation in New York, New York since June 2017 and Jefferies LLC in New York, New York since 2016. Previous registrations include Morgan Stanley in New York, New York; Morgan Stanley & Company in New York, New York; Credit Suisse Securities in New York, New York; and Donaldson Lufkin & Jenrette Securities in Jersey City, New Jersey. He has passed there securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 46 US states and territories.
According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.
In May 2017 a customer alleged Rick Davidson, while employed at Morgan Stanley Smith Barney, executed unauthorized corporate bond transactions. The complaint settled for $21,000.
In 2016 a customer alleged Rick Davidson, while employed at Morgan Stanley, made unsuitable investment recommendations. The customer is seeking $1,000,000 in damages in the pending complaint.
In 2012 a customer alleged Rick Davidson, while employed at Morgan Stanley, made unauthorized transactions. The complaint settled for more than $101,700.
In 2012 a customer alleged he, while employed at Morgan Stanley, executed an unsuitable bond purchase without authorization. The complaint settled for more than $8,100.
If you or someone you know has a complaint regarding Rick Davidson, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.