FINRA expelled securities broker Christina Dawn Peterman (also known as Christina Dawn Heighton, Christina Dawn Knippers, and Christina Dawn Lay) [CRD: 4064817, Greensboro, North Carolina], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christina Peterman worked for Truist Investment Services Inc. from August 1, 2021, to May 16, 2023. Here’s more about Christina Peterman’s disclosures.
Particularly, on January 26, 2024, FINRA issued Case: 2023078798001 sanctioning Christina Peterman for infractions. Specifically, Peterman was barred permanently from associating with any FINRA member in all capacities.
According to the regulator, Peterman refused to produce documents requested for its investigation into sales practice violation allegations. The investigation originated from a Form U5 filed by Truist Investment Services Inc., who discharged Peterman on May 16, 2023. The Form U5 indicated that Peterman conducted unauthorized client transactions and accessed client information without a legitimate purpose.
FINRA Rule 8210 allows FINRA to require any securities broker to provide information and documents for any matter under investigation. By refusing to comply with this rule, Peterman violated FINRA Rule 8210 in addition to 2010.
Have you experienced losses because of any sales practice violation by financial advisor / securities broker Christina Peterman? If you have, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Peterman and brokerage firms Peterman worked for deny accusations of sales practice violations. Contact Soreide Law Group.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
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