Tammy C. Petersen, a former Merrill Lynch, Pierce, Fenner and Smith Inc. (Merrill Lynch) representative, submitted an Acceptance Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) to settle the alleged Rule violations, without admitting or denying the allegations made against her for improper use of a customer’s funds. Pursuant to the settlement, Ms. Petersen was permanently banned from associating with any FINRA firm.
In March 2000, Tammy C. Petersen first entered the securities industry with a National Association of Securities Dealers (NASD) member firm. In July 2000, Ms. Petersen became an investment company/ variable contracts products limited representative with American Funds Distributers until May 2003. Thereafter, she became registered with Wells Fargo Advisors. In October 2010, Ms. Petersen became registered with Merrill Lynch. Continue reading →