FINRA, a regulator of the securities industry, recently barred North Carolina broker Christina Peterman after she failed to respond to a FINRA request for information and documents. The Letter of Acceptance, Waiver, and Consent states that the investigation related to a filing by her Broker-Dealer firm, Truist Investment Services, Inc.…
The online FINRA Brokercheck report for former Western International broker Chris Kennedy shows eleven different customer complaints. These complaints include allegations of unauthorized trading, unsuitability, breach of fiduciary duty, and other wrongful conduct. Many of the complaints have been settled, with one settled for over 2.7 million dollars. The Brokercheck…