Walter Morrow Allen, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Information

FINRA initiated an investigation into Morrow following allegations of unauthorized trading.

walter-morrow-allen-refusal-to-provide-informationWalter Morrow Allen (CRD#: 1344149) was registered as a broker with Cetera Advisors from 2016 until 2020. Previously, Allen was registered as a broker with Investors Capital Corp. from 2015 until 2016.

Allen has three disclosures on his BrokerCheck report. 

August 2021 Regulatory Judgment

April 2020 Employment Separation After Allegations

October 2003 Employment Separation After Allegations

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The Sonn Law Group is currently investigating allegations surrounding Walter Morrow Allen. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.