John Davenport Lawsuit | Broker Misconduct

Who Is John Davenport? | John Davenport Lawsuit

John Francis Davenport is a Norwalk, Connecticut and Bakersfield, California broker. John Davenport of Davenport & Associates is currently registered with Liberty Partners Financial Services and was previously registered 11 additional firms for short periods of time: Securities America, FSC Securities Corp., SII Investments, Royal Alliance Associates, Prime Capital Services, and many more. Davenport currently has 8 FINRA Brokercheck Disclosures including a Personal Bankruptcy, Regulatory Suspension, Employment Separation After Allegations, Significant Tax Liens, and Customer Disputes.

Peiffer Wolf Carr & Kane is currently investigating claims against John Davenport, a registered broker with Liberty Partners and Davenport and Associates in Norwalk, CT. Davenport & Associates also maintains locations in White Plains, New York and Naples, Florida. Davenport is also associated with the Bakersfield, CA office of Liberty Partners.

According to FINRA’s BrokerCheck website for Public Disclosures, John Davenport has been the subject of 8 disclosures. Some of the more notable disclosures are as follows:

2019: Regulatory Suspension & Civil and Administrative Penalty of $20,000: “Davenport consented to the sanctions and to the entry of findings that he placed two securities transactions for a registered representative of another firm and split the commissions generated from the transactions with that representative, without the knowledge or consent of either firm, and without reflecting the commission sharing on his member firm’s books and records.”

2017: Financial: Pending Personal Bankruptcy

2016: Judgment/Lien – Tax Lien of $216,041.00 

2016: Judgment/Lien – Tax Lien of $949,310.00

2007: Employment Separation After Allegations from his brokerage firm

2003: Customer Dispute – Settlement Amount of $50,000

To review John Davenport’s Brokercheck report, click here:

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

John Davenport has worked at multiple firms over the years for very short periods of time, including Liberty Partners Financial Services, Securities America, FSC Securities Corp., SII Investments, Royal Alliance Associates, Prime Capital Services, Sunpoint Securities, Merrill Lynch, Smith Barney, Descap Securities, College Retirement Equities Fund, and Mony Securities. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website,

John Davenport Liberty Partners | John Davenport Lawsuit

Based on our experience, we believe that there are more investors who have been the victim of Davenport’s alleged broker misconduct and investment fraud. If you’ve worked with or invested with John Davenport, you should contact Peiffer Wolf Carr & Kane immediately for a FREE Consultation.

Peiffer Wolf Carr & Kane is currently investigating John Davenport’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation585-310-5140

FREE Consultation | 585-310-5140

If you believe you were a victim of predatory lending, investment fraud, or broker misconduct, it is imperative to take action. Peiffer Wolf Carr & Kane has represented thousands of victims, and we remain committed to fighting on behalf of investors. We focus on identifying parties that are not only liable but have the financial ability to compensate victimized investors. Our goal is to put money back into our clients’ pockets.

Contact Peiffer Wolf Carr & Kane today by filling out a Contact Form on our website or by calling 585-310-5140 to schedule a FREE Case Evaluation.

Peiffer Wolf (1315 Posts)

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.