May 28, 2015

Former Merrill Lynch and Wells Fargo Advisor Virginia Broker Barred by FINRA for Alleged Conversion of $107,378 of Clients' Funds

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.

If you suffered investment losses due to your broker or financial advisor's recommendations, call Soreide Law Group for a consultation at no cost with an attorney for possible recovery of your losses: 888-760-6552.

S H A R E   T H I S   P O S T

Recent Posts

February 17, 2025
Jason Netrosio Faces LPL Client Complaint About Unauthorized Trading

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Andrew Netrosio (also known as Jay Netrosio) (CRD#: 2743225, Middletown, New York). Netrosio has been registered in the securities industry for 27 years, working with multiple firms, including HSBC Securities, TD Ameritrade, and CUNA Brokerage Services. Since May 18, 2022, he has been […]

February 17, 2025
Janine Ledbetter Facing Cetera Client Disputes About Unsuitable Recommendations

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Janine Lynn Ledbetter (also known as Janine Lynn Evans) [CRD: 5653943, Vancouver, Washington]. Ledbetter was previously registered as both a broker and an investment adviser, working with Cetera Advisors LLC from 2014 to 2022. Recent disclosures raise concerns regarding Ledbetter’s professional conduct, including allegations […]

February 16, 2025
James Hart Facing Allegations of Mismanagement at Raymond James

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Vernon Hart (also known as Vern Hart) [CRD#: 1122114, Carmel, Indiana]. Hart works with Raymond James Associates Inc. as of June 16, 2011. Recent disclosures raise concerns about Hart’s conduct, including allegations of excessive fees and mismanagement of a client’s account. Pending Client […]

Contact us Nationwide USA
2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062
Helping clients recover money across the USA
search
Copyright © 2022 Soreide Law Group, PLLC  |  All Rights Reserved