Defendant Name: Warren A. Davis

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Warren A. Davis
First Document Date 27-May-2020
Initial Filing Format Administrative Action
File Number 3-19814
Allegation Type Broker Dealer


Violations Alleged

Securities Act
Sec 5
Section 15(a) Exchange Act


First Resolution Date

Related Documents:

34-88962 27-May-2020 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing

Related Actions:

In the Matter of Oppenheimer & Co. Inc.
SEC v. Gibraltar Global Securities, Inc., and Warren A. Davis
In the Matter of Scott A. Eisler
In the Matter of Arthur W. Lewis