Sign of the Financial Industry Regulatory Authority

Alan Louis Shankman of Salt Lake City Utah is a stockbroker currently registered with Wilson-Davis and Co. Inc. who is the subject of a Financial Industry Regulatory Authority (FINRA) investigation into allegations of Shankman’s potential FINRA Rule 2010 violations. FINRA Investigation No. 20150433566; 20160512091 (Dec. 1 2017).

FINRA Public Disclosure confirms that a customer initiated investment related civil action involving Shankman’s conduct was settled for $26,000.00 in damages supported by accusations of breach of contract, deceptive practices, misrepresentation and fraud in regard to Ultrafem stocks. Civil Action No. 108914/98.

Shankman has also been fired from previous brokerage firm, Dean Witter Reynolds, based upon allegations that he violated the firm’s policies concerning customer communications.

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