Thomas A. Davis was South Carolina based securities broker. He worked in the securities industry for three years. During his career, he was registered with just Wells Fargo Advisors. He is no longer working as a registered securities broker in any fashion.
Thomas A Davis’ publicly available FINRA BrokerCheck report shows that he was recently sanctioned by FINRA. The findings in this matter state that he allegedly converted approximately $2,226 from an affiliated bank of his member firm. He did this by allegedly issuing unwarranted cash credits to five bank customers, purportedly on behalf of the bank, and subsequently withdrawing those amounts from the bank customers’ accounts without their knowledge or authorization. Due to the allegations against him, he was barred from acting as a securities broker in any fashion.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Thomas A. Davis, please contact Oakes & Fosher for a free and private consultation.