Tag Archives: Patricia Gail Peterson

WFG Stockbroker Admits to Unauthorized Trading

July 16, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Patricia Gail Peterson of Henderson Nevada a stockbroker formerly employed by WFG Investments Inc. has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she effected trades in customer accounts without written authorization. Letter of Acceptance Waiver and Consent No. […]

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