File for: Data Current as of: 04/07/1999
CRD# 448950
DAVID THOMAS TRAVIS
Disclosure Events
Disclosure Events: Information that is required to be reported by brokers and firms to the NASD via the NASD Forms U-4, U-5, and BD. Types of Disclosure information include, but are not limited to:
criminal events (e.g., felony convictions, certain misdemeanor charges and convictions, such as theft of money, bribery, etc.)
financial disclosure events (e.g., bankruptcies, unsatisfied judgments and liens),
regulatory actions (e.g., suspensions, bars),
customer complaints, and
civil judicial events (e.g., injunctions). |
