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Tag: Unauthorized Trading

ATTENTION WALTER ALLEN CETERA ADVISORS SUFFIELD CT CUSTOMERS: FINRA Bars Former Cetera Advisors Broker

August 04, 2021

National investor fraud law firm, KlaymanToskes, has commenced an investigation (“Walter Allen Cetera Advisors Suffield CT Investigation”) into former Cetera Advisors broker Walter Allen in...

Broker Barred by FINRA for Excessive Trading in Client IRA Accounts

March 28, 2017

Released March 2017 Richard Gomez (CRD #4727721, Jackson Heights, New York) submitted an AWC in which he was suspended from association with any FINRA member...

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