TAMMY C PETERSEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140438720 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Tammy C. Petersen, Respondent CRD No. 4161501 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,
Reference 2014043872001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4161501

Other names1

Also known as1

TAMMY C. PETERSON

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