Dana Davis Suspended from Securities Industry by FINRA for Unsuitable Margin Recommendations

Dana Davis Suspended from Securities Industry by FINRA for Unsuitable Margin Recommendations

Kevin J. Deloatch, Esq.2026-08-05T11:59:29-05:00April 10th, 2023|Securities Law, Fraud, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Dana Davis (CRD # 1707708) was recently suspended from the securities industry [...]

Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

Kevin J. Deloatch, Esq.2026-08-05T12:00:23-05:00December 9th, 2022|Securities Law, FINRA - Broker Actions, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christine A. Warner (CRD # 4001584) was recently suspended from the securities [...]