Subject: Warren Davidson

Subject of Interest

Warren Davidson (R-OH) is a committee member of the 116th Congress U.S. House Committee on Financial Services. Warren Earl Davidson is an American Republican politician from the state of Ohio. He is the member of the United States House of Representatives from Ohio’s 8th congressional district. After his military service, he led his family’s business in the Ohio manufacturing industry, which he ran until entering public service. He was appointed to the 2020 United States Military Academy Board of Visitors. He graduated from the United States Military Academy (BS), and University of Notre Dame (MBA). 


U.S. House Banking Committee on Financial Services

Fined: D.A. Davidson & Co Fined by FINRA


D.A. Davidson & Co Fined by FINRA

An AWC was issued in which the firm was censured, fined $85,000 and required to provide to FINRA a plan for reviewing the securities detailed in the AWC to identify and then provide notice to the issuers of inaccuracies in the issue price certificates. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that in connection with municipal offerings, it provided inaccurate or misleading statements in its issue price certificates related to the percentage of each maturity that was sold, or was reasonably expect to be sold, to the public.

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