Peggy Jean Doherty-Punderson of Hill, New Hampshire submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which she was barred for refusing to provide information and documents in violation to FINRA Rules 8210 and 2010.
In May 2013, Peggy Jean Doherty-Punderson joined Morgan Stanley as a General Securities Representative until being discharged in September of 2019. According to FINRA, a form U5 was filed by Morgan Stanley in which Peggy Jean Doherty-Punderson was discharged due to a pending review which stated that she allegedly acknowledged and refused to provide documents requested by FINRA. The FINRA findings stated that the request was sent concerning a mortgage deed executed by Punderson and a customer. In addition, Ms. Punderson allegedly violated FINRA Rule 8210 and 2010, is no longer registered with any FINRA member firm and remains under FINRA’s jurisdiction. Continue Reading