Tag Archives: Gary Woodruff Peterson

Ameriprise Financial Services Stockbroker Barred for Churning

March 07, 2017  |   Posted by :   |   Churning, Investment and Regulatory News   |   0 Comments

Gary Woodruff Peterson, of Rockford, Illinois, a stockbroker formerly registered with Ameriprise Financial Services, was prohibited from offering or selling securities in the State of Illinois based upon consenting to The State of Illinois Securities Department allegations that Peterson effected excessive trades in a customer’s account for purposes of accumulating excessive commissions to the customer’s […]

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