Tag Archives: Wilson-Davis Co. Inc.

Wilson Davis Charged By FINRA With Market Manipulation

August 02, 2019  |   Posted by :   |   Investment and Regulatory News, Stock manipulation   |   0 Comments

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 […]

Read More »

Wilson Davis Investigated For Failure To Supervise

May 03, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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. […]

Read More »

FINRA Investigates Wilson Davis Broker For Fraud

September 27, 2018  |   Posted by :   |   Investment and Regulatory News, Stock manipulation   |   0 Comments

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 […]

Read More »

FINRA Investigates Wilson Davis Broker For Misconduct

March 12, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

Read More »