Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2018.”
PATRICIA GAIL PETERSON (PATRICIA EVERSHED,PATRICIA EVERSHED PETERSON) (CRD #1962901, Henderson, Nevada)
was fined $7,500 and suspended by FINRA in all capacities for 20 business days for allegedly using discretion to place trades in the accounts of her member firm’s clients without having received written authorization from the clients to use discretion in their accounts and without the firm having accepted the accounts as discretionary.
FINRA’s findings stated that Peterson had received verbal permission from the clients to use discretion in their accounts.
The suspension was in effect from December 4, 2017, through January 2, 2018.
(FINRA Case #2015047070601)
On FINRA’s BrokerCheck Report there are 3 Disclosures on PATRICIA GAIL PETERSON’s report, one of which is an “Employment Separation After Allegations” from WFG Invstments. Peterson was discharged on 9/16/15 due to allegations that, “The representative did not follow firm policies relating to the proper handling of customer related paperwork and exercised unauthorized discretion in retail customer accounts.”
According to FINRA’s BrokerCheck, PATRICIA EVERSHED PETERSON, was listed with 5 firms over her 28 years in the securities industry. She is currently employed with:
INNOVATION PARTNERS LLC
5950 FAIRVIEW ROAD SUITE 806
CHARLOTTE, NC 28210
The two most recent firms are listed below:
10/13/2015 - 12/01/2017 INNOVATION PARTNERS LLC - Henderson, NV
11/17/2009 - 09/18/2015 WFG INVESTMENTS INC - HENDERSON, NV
If you were a client of PATRICIA GAIL PETERSON, formerly of WFG Investments of Henderson NV, and currently with Innovation Partners LLC of Charlotte, North Carolina, and experienced losses due to her actions or recommendations, call Soreide Law Group for a no-cost consultation with an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA. We operate on a contingency fee basis, no fee if no recovery.
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