Andrew S. Walters
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/18/2026: The Department of Enforcement alleges: SUMMARY 1. Respondent Andrew S. Walters failed to provide documents and information that FINRA requested pursuant to FINRA Rule 8210, and further failed on two occasions to appear for and provide testimony that FINRA requested pursuant to FINRA Rule 8210. FINRA issued these requests for documents, information, and testimony as part of its investigation into, among other things, whether Walters engaged in free-riding by effecting securities purchases in his 401(k) account that he funded using the sale of those same securities; falsely attested on an annual firm compliance questionnaire that he was not the subject of any bankruptcy proceedings; and received excess compensation from his firm. As a result of his failure to provide documents, information, and testimony requested pursuant to FINRA Rule 8210, Walters violated FINRA Rules 8210 and 2010...
Reference 2024084337302data-portal.finra.orgfinra.org
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