stock exchange

Christina Dawn Peterman (also known as Christina Dawn Heighton, Christina Dawn Knippers, and Christina Dawn Lay), of Greensboro, North Carolina, a stockbroker registered with Truist Investment Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Peterman failed to comply with the regulator’s investigation concerning her potential unauthorized trading in customer accounts. Letter of Acceptance, Waiver, and Consent No. 2023078798001 (January 26, 2024).

According to the AWC, on May 16, 2023, Truist filed a termination notice, stating that Peterman was discharged as a stockbroker for apparently accessing customer information without a business purpose and engaging in unauthorized customer transactions.

FINRA’s disciplinary action originated from a request to the stockbroker for information and documents related to the allegations in the termination notice. The AWC stated that the stockbroker was instructed on November 29, 2023, to provide a response by December 13, 2023. However, on December 11, 2023, she contacted the regulator to confirm that she would not provide the requested information and documents. By refusing to cooperate with FINRA’s investigation, Peterman violated FINRA Rules 8210 and 2010.

Peterman was associated with Truist Investment Services Inc. in Greensboro, North Carolina from August 1, 2021, to May 16, 2023. Before her association with Truist, Peterman was associated with Wells Fargo Clearing Services LLC in Winston Salem, North Carolina, from March 9, 2021, to July 29, 2021, and with Raymond James Associates Inc., also in Winston-Salem, from September 6, 2016, to October 8, 2020.