Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that Colorado-based Edward Jones broker/adviser Douglas Davis has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1780330).
Douglas Davis has spent 29 years in the securities industry and has been registered with Edward Jones in Steamboat Springs, Colorado since 1987. He has no previous registrations. He has passed three securities industry examinations: Series 66 (Uniform Combined State 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 33 US states and territories and four self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq Stock Market, and New York Stock Exchange.
According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.
In August 2017 a customer alleged Douglas Davis, while employed at Edward Jones, permitted the execution of numerous unauthorized withdrawals. The customer is seeking more than $1,000,000 in damages in the pending complaint.
In September 2016 a customer alleged Douglas Davis, while employed at Edward Jones, “provided poor advice for her to begin contributing to a Roth IRA account in July 2004.” The customer sought unspecified damages in the complaint, which was denied.
If you have lost money investing with Douglas Davis, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.