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William Davis Terminated from Ameriprise Over Unapproved Securities, Mis-Marked Trades

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William Davis

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that former Georgia-based Ameriprise Financial Services broker/adviser William Davis was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 811559).

William Davis has spent 43 years in the securities industry and was most recently registered with Ameriprise Financial Services in Atlanta, Georgia (2016-2018). Previous registrations include UBS Financial Services in Hyannis, Massachusetts (1988-2016); Drexel Burnham Lambert (1980-1988); and Kidder Peabody & Company (1975-1980). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 8, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 9, 1980; Series 15 (Foreign Currency Options Examination), which he obtained on February 11, 1985; Series 3 (National Commodity Futures Examination), which he obtained on April 26, 1983; PC (AMEX Put and Call Exam), which he obtained on August 15, 1977; and Series 7 (General Securities Representative Examination), which he obtained on August 16, 1975. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.

In July 2018 he was terminated from his position at Ameriprise Financial Services in connection to allegations he violated company policy regarding the solicitation of unapproved securities, mis-marking trades, and failure to comply with supervisory protocols.

If you or someone you know has lost money investing with William 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 by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.