Brian Davis and Ryan Davis of Principal Securities Barred by FINRA

Allegations Against Brian and Ryan Davis

FINRA opened an investigation into Brian Boyer Davis and Ryan W. Davis of Tulsa, Oklahoma, regarding the family members’ alleged involvement in a private securities transaction. Essentially, FINRA was trying to determine whether Brian and Ryan Davis sold investments that were not authorized by their firm, Principal Securities. After the Davises refused to cooperate with FINRA’s investigation, FINRA barred them from the industry.

Brian and Ryan Davis Industry History

Brian Davis was affiliated with Principal Securities from January 2020 to June 2023, and was also previously licensed with MWA Financial Services. He worked in Tulsa, Oklahoma. Additionally, Brian has been the subject of a customer complaint, where the customer alleged that he, among other defendants, failed to repay a promissory note.

Ryan Davis was with Principal Securities from February 2020 to February 2023 and also previously worked for MWA Financial Services in Tulsa, Oklahoma. He is the subject of the same customer complaint as Brian.

Principal Securities’ Potential Liability for Losses

Under FINRA Rule 3110, broker-dealers like Principal Securities must reasonably supervise the activities of their representatives. If a firm does not adequately supervise its advisors, it could be liable for any investor harm.

Israels & Neuman Represents Clients in Oklahoma

Our securities and Arbitration law firm represents investors throughout the country as well as Oklahoma, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you were a client of Brian Boyer Davis or Ryan W. Davis and believe they acted improperly, you may be entitled to recover losses through FINRA arbitration.

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