James D. Davis Jr. of Columbia, Tennessee, a stockbroker registered with IFP Securities LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $42,000.00 in damages based upon allegations that Davis breached his fiduciary duties and violated securities laws in connection with the…
Walter Ickert, of Ridgeland, South Carolina, a stockbroker associated with IFP Securities LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,001.00 in damages based upon allegations that Ickert failed to conduct adequate due diligence, misrepresented an investment’s safety, failed to…