Former securities broker Andrew Stephen Walters (CRD: 7291210), who is located in Lexington, Kentucky, has faced a regulatory investigation by the Financial Industry Regulatory Authority (FINRA), according to BrokerCheck disclosures. Walters worked for First Kentucky Securities Corporation from February 29, 2024, to December 6, 2024. He previously worked for Charles Schwab Inc. from May 25, 2022, to August 11, 2022; Fidelity Brokerage Services LLC from February 12, 2021, to April 12, 2022; and MML Investors Services LLC from October 7, 2020, to January 6, 2021. Here's a closer look at the FINRA matter involving Walters.
In a Wells notice dated July 1, 2026, FINRA said it had made a preliminary decision to recommend disciplinary action against Andrew Walters. In examination #20240843373, FINRA alleged that Walters potentially violated Rules 8210 and 2010 by failing to appear for testimony and failing to provide documents and information requested under Rule 8210. FINRA indicated that the investigation is ongoing.
On May 22, 2025, FINRA imposed a suspension on Walters in Case 2024084337301 after he allegedly failed to provide requested information. Specifically, The suspension took effect on May 25, 2025, preventing him from associating with any FINRA member firm in any capacity. FINRA said Walters could have been automatically barred on July 31, 2025, if he did not ask to have the suspension lifted. The regulator lifted the suspension on August 7, 2025.
Investors who believe they lost money because of Andrew Walters can contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney about the possibility of recovering their investment losses. The firm has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Walters and the brokerage firms where he worked deny accusations of sales practice violations.
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