Tammy Charlene Petersen (CRD #4161501, Carrollton, Virginia) aka TAMMY CHARLENE BARBER, TAMMY CHARLENE BARBER, TAMMY CHARLENE BROUSSARD, TAMMY CHARLENE BROUSSARD, or TAMMY PETERSEN
was barred by FINRA for allegedly converting approximately $107,378 from her member firm clients for her own personal use and benefit without the clients’ knowledge or consent.
FINRA's findings stated that Petersen facilitated wire transfers of funds from two separate client accounts to one of several bank accounts that Petersen controlled. Petersen also transferred funds from two firm clients’ affiliate bank accounts to a bank account she controlled.
(FINRA Case #2014043872001)
Tammy C. Peterson (AKA TAMMY CHARLENE BARBER, TAMMY CHARLENE BARBER, TAMMY CHARLENE BROUSSARD, TAMMY CHARLENE BROUSSARD, TAMMY CHARLENE PETERSEN, TAMMY PETERSEN) was previously registered with the following firms:
11/2010 - 11/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) - NEWPORT NEWS, VA
09/2009 - 01/2010 WELLS FARGO ADVISORS, LLC (CRD# 19616) - NORFOLK, VA
06/2004 - 08/2009 WELLS FARGO ADVISORS, LLC (CRD# 19616) - NORFOLK, VA
07/2000 - 05/2003 AMERICAN FUNDS DISTRIBUTORS, INC. (CRD# 6247) - LOS ANGELES, CA
This summation of information from FINRA's Disciplinary Report May 2015 ends here.
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