Tag Archives: Davenport & Company

Davenport Stockbroker Sanctioned For Unauthorized Trading

January 09, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Michael Joseph David Kane of Virginia Beach Virginia a stockbroker currently registered with Davenport Company LLC has been fined $2,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unauthorized trading during the period in which he was associated with […]

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Davenport Fined By FINRA For Failure To Supervise

January 10, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Davenport & Company, LLC, a broker-dealer headquartered in Richmond, Virginia, was censured and fined $115,000.00 by Financial Industry Regulatory Authority (FINRA) by consenting to findings that the firm, inter alia, failed to supervise consolidated reports distributed to customers regarding their investment accounts. Letter of Acceptance, Waiver and Consent, No. 2016051515201 (Dec. 27, 2017). According to […]

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