Conversion

FINRA Bars Two Virginia FAs In Connection With Allegations Involving Converting Client Funds

By WEALAW / June 26, 2015 / Comments Off on FINRA Bars Two Virginia FAs In Connection With Allegations Involving Converting Client Funds

Tammy Charlene Petersen formerly of Merrill Lynch and Kirsten Flynn Hawkins formerly of SunTrust Investment Services, Inc. both were barred from association with any FINRA member in any capacity in connection with allegations involving the conversion of client funds. Tammy Petersen, formerly with Merrill Lynch in Carrollton, Virginia, consented to the bar and to the entry of findings that she…

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