Defendant Name:
Jeffrey Scott Davis
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Jeffrey Scott Davis
First Document Date
22-Aug-2018
Initial Filing Format
Administrative Action
File Number
3-18661
Allegation Type
Broker Dealer
Affiliations
- Former: Registered Investment Adviser at Ameriprise Financial Services, Inc. (2000—2013)
- Former: Broker/Registered Representative at Ameriprise Financial Services, Inc. (2000—2013)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
