Tag Archives: David James Williams

Allstate Stockbroker Sanctioned For Outside Business Activities

August 15, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Allstate Stockbroker Sanctioned For Outside Business Activities

David James Williams of Rochester New York a stockbroker formerly registered with Allstate Financial Services has been fined $7,500.00 and suspended for 3.5 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Williams engaged in outside business activities while he was associated with Allstate Financial Services. […]

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