Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Davis (Davis), previously associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $14,123.00 on March 22, 2022.
Alleged losses due to ineffective management when, if the account had been given greater attention during the COVID-caused panic and bond market downturn, the loss could have been further mitigated.