Bruce Lavar Davis (CRD #5602776, Rancho Cordova, California)

An AWC was issued in which Bruce Lavar Davis (CRD #5602776) was barred from association with any FINRA member in all capacities. While Davis neither admitted nor denied the findings, he consented to FINRA’s sanction and to the entry of findings that he “refused to provide documents and information requested by FINRA regarding his personal finances and taxes, including certain checks, in connection with its investigation of his alleged conversion of $206,000 of his member firm’s funds.” FINRA’ findings stated that “the firm reported in a Uniform Termination Notice for Securities Industry Registration (Form U5)” that Bruce Lavar Davis “was terminated because he failed to repay funds he received from the firm in error and did not respond to its requests to return the funds.” (FINRA Case #2021070327601)