Andrew David Schell of Colorado Springs, Colorado, a stockbroker formerly registered with D.A. Davidson Co., is the subject of a customer initiated investment related complaint that was settled on June 22, 2022, for $36,801.00 in damages based upon accusations that Schell made unauthorized options transactions when Schell was associated with D.A. Davidson Co. FINRA Public…

D.A. Davidson Co. a brokerage firm headquartered in Great Falls Montana has been censured by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that it (1) overcharged customers by failing to apply sales charges waivers and (2) failed to supervise its mutual fund transactions to ensure that eligible customers received applicable discounts. Letter…

Gregory Roy Tucker, of Des Moines, Iowa, a stockbroker currently registered with D.A. Davidson & Co., has been identified in a customer initiated investment related arbitration claim on October 17, 2016, where the customer’s claim was based on allegations that Tucker effected trades in the customer’s account on an excessive and unsuitable basis, which resulted…