Tag Archives: D.A. Davidson & Co.

FINRA Censures D.A. Davidson Co. For Overcharging Customers

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 […]

Read More »

DA Davidson Sued For Excessive Trading

September 22, 2017  |   Posted by :   |   Churning   |   0 Comments

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 […]

Read More »