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 converted approximately $107,378 from customers for her own use and benefit without the customer’s knowledge or consent. For more information click here to see her Letter of Acceptance Waiver and Consent.
Kirsten Hawkins, formerly with SunTrust in Staunton, Virginia, consented to the bar and to the entry of findings that she failed to provide FINRA with documents and information in connection with an investigation into allegations that she converted approximately $500,000 from a customer. For more information click here to see her Letter of Acceptance Waiver and Consent.
If you believe you may have been a victim of either of these brokers or have had other issues with Merrill Lynch or SunTrust please contact an Investment Fraud Attorney at West & West for a free initial consultation.