Tracy Morton Fired from Allstate Financial Services
Tracy Morton (CRD #: 4880691), a broker formerly registered with Allstate Financial Services, allegedly failed to disclose an outside business activity to her firm, according to her BrokerCheck record, accessed on February 14, 2023. Read on if you want to know more about her alleged conduct as a broker.
Termination from Allstate Financial Services
On January 3, 2023, Tracy Morton was fired by Allstate after allegedly failing to disclose an interest in an insurance agency as an outside business activity.
FINRA Rule 3270
FINRA Rule 3270 requires brokers to seek and receive approval from their firm for any outside business activities they engage in.
Other business activities
Tracy Morton’s detailed BrokerCheck report currently lists one outside business activity: she owns a rental house in Oklahoma.
Tracy Morton has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
She previously worked for Allstate Financial Services (CRD#:18272).
Kurta Law Can Help
If you worked with Tracy Morton and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.