According to FINRA, Alison Nicole Andrews (CRD #6196235, West Plains, Missouri) submitted an AWC in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Andrews consented to the sanction and to the entry of findings that after a potential customer’s son was unsuccessful in obtaining copies of his elderly mother’s account statements, Andrews allegedly contacted the FINRA member firm where the assets were held and falsely claimed to be the customer’s relative in order to obtain the customer’s account statements.
The findings stated that the customer’s son submitted an online complaint alleging that the firm had refused to provide him with his mother’s account statements. Andrews purportedly contacted FINRA and attempted to obtain information about the status of the complaint and falsely claimed that she was the son’s daughter. The findings also stated that after Andrews and a registered representative at her member firm learned that FINRA was investigating her claim that she was the customer’s relative, they purportedly devised a plan to provide FINRA with false information by providing false on the-record testimony and false written responses to requests for information.
For FINRA’s full findings see FINRA Case #2013039630301.
According to her FINRA BrokerCheck, Andrews was registered with Allstate Financial Services in- West Plains, MO from 08/2013 – 05/2015.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. For more information on the firm and it’s representation of investors, visit http://www.whitesecuritieslaw.com.
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