Wilson Davis Co. Inc. a securities broker dealer headquartered in Salt Lake City Utah as well as James C. Snow (President and Chief Compliance Officer) Lyle Wesley Davis (Chief Executive Officer) Byron Bert Barkley (Head of Trading) and Craig Stanton Norton (stockbroker) have been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in…
Byron Bert Barkley of Salt Lake City Utah the Head of Trading for Wilson Davis Co. Inc. is the subject of a Financial Industry Regulatory Authority (FINRA) investigation which led FINRA to conclude that disciplinary action should be taken against Barkley for potentially failing to supervise stockbrokers of the firm who may have defrauded investors….
Craig Stanton Norton of Centennial Colorado a stockbroker currently registered with Wilson Davis Co. Inc. has been named in a Financial Industry Regulatory Authority (FINRA) investigation concerning allegations of Norton potentially defrauding investors. Case No. 20160488374 (July 12, 2018). FINRA has apparently concluded that it should bring a disciplinary action against Norton for allegedly engaging…
Alan Louis Shankman of Salt Lake City Utah is a stockbroker currently registered with Wilson-Davis and Co. Inc. who is the subject of a Financial Industry Regulatory Authority (FINRA) investigation into allegations of Shankman’s potential FINRA Rule 2010 violations. FINRA Investigation No. 20150433566; 20160512091 (Dec. 1 2017). FINRA Public Disclosure confirms that a customer initiated…