Tag Archives: DA Davidson Co.

DA Davidson Stockbroker Barred In Theft Investigation

November 04, 2020  |   Posted by :   |   Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft   |   Comments Off on DA Davidson Stockbroker Barred In Theft Investigation

Kathleen Marie Bott (also known as Kathy Bott) of Spokane Washington a stockbroker formerly employed by DA Davidson Co. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Bott neglected to comply with FINRA when she was under investigation for committing theft. Letter of […]

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Investors Sue DA Davidson For Fraudulent Investment Advice

September 14, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims, Securities Fraud, Unsuitable Investment Recommendations   |   Comments Off on Investors Sue DA Davidson For Fraudulent Investment Advice

Gregory Roy Tucker of Des Moines Iowa a stockbroker currently employed by DA Davison Co. is referenced in a customer initiated investment related arbitration claim where the customer sought $500,000.00 in damages supported by accusations that the customer had been provided unsuitable investment advice from Tucker during the period in which he was associated with […]

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DA Davidson Sued By Investors For Bad Investment Advice

Gregory Roy Tucker of Des Moines Iowa a stockbroker currently employed by DA Davidson Co. is referenced in a customer initiated investment related arbitration claim where the customer requested $10,000,000.00 in damages based upon allegations that between 2009 and 2018: (1) the customer was charged excessive commissions (2) important information about the customer’s corporate and […]

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