David Allen Walters
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/27/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060587101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Allen Walters (Respondent) Former General Securities Representative, Former General Securities Principal, Former Investment Banking Representative, Former Investment Banking Principal, Former Introducing Broker-Dealer Financial and Operations Principal, and Former Operations Professional CRD No. 1436760 Pursuant to FINRA Rule 9216, Respondent David Allen Walters submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018060587101data-portal.finra.orgfinra.org
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