RedFlags, Allegations and Complaints against CARL Kotsilimbas DAVIS
Disclosure #1 for CARL DAVIS
- eventDate: 5/23/2007
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Disclosure Detail :: DocketNumberFDA:
- Initiated By: IOWA INSURANCE COMMISSIONER
- Allegations: RR WAS SANCTIONED BY THE STATE OF IOWA FOR HOLDING HIMSELF OUT AS A FINANCIAL ADVISOR DURINA A TIME PERIOD WHEN HE WAS NOT REGISTERED AS AN INVESTMENT ADVISOR REPRESENTATIVE IN THE STATE OF IA.
- Resolution: Consent
- SanctionDetails :: Sanctions: Monetary/Fine
- SanctionDetails :: Amount: $1,250.00 Sanctions: Cease and Desist/Injunction
- Sanctions: PROBATION FOR 6 MONTHS
- Sanction Details: PROBATION COMMENCED AS OF MARCH 2, 2007. RR IS REQUIRED TO REPORT ANY AND ALL CONSUMER COMPAINTS RECEIVED BY ANY SOURCE TO THE STATE OF IA. RR IS REQUIRED TO SUBMIT TO THE DIVISION A COPY OF ANY ADVERTISING MATERIAL THAT IS NOT DEVELOPED BY AND DISTRIBUTED BY ANY OF HIS APPOINTED COMPANIES OR APPROVED BY HIS BROKER/DEALER.
Should I file a FINRA complaint against brokers like CARL Kotsilimbas DAVIS?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by CARL Kotsilimbas DAVIS’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About CARL Kotsilimbas DAVIS
What is CARL DAVIS’s Central Registration Depository (CRD) Number?
Which firm is CARL Kotsilimbas DAVIS associated with?
INNOVATION PARTNERS LLC
Where is CARL DAVIS located?
5950 FAIRVIEW ROAD, CHARLOTTE, NC, 28210
Where can I find more details about CARL DAVIS’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/146344 to read a detailed report for INNOVATION PARTNERS LLC
Are there any disclosures, allegations or complaints filed against CARL Kotsilimbas DAVIS?
Where can I download a detailed FINRA report for CARL DAVIS?
Is it safe to do business with CARL Kotsilimbas DAVIS?
We’re not sure. Please research CARL DAVIS’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:50 am
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