Tag Archives: Leading Edge Power Solutions

Advisory Group Stockbroker Sanctioned For Private Transactions

December 01, 2020  |   Posted by :   |   Securities Arbitration Claims, Selling Away and Outside Activities   |   Comments Off on Advisory Group Stockbroker Sanctioned For Private Transactions

David Allen Walters (also known as Dave Walters) of Laguna Beach California a stockbroker formerly registered with Advisory Group Equity Services (AGES) has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Walters engaged in private securities transactions while […]

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