Peggy Jean Doherty-Punderson
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/13/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063842601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Peggy Jean Doherty-Punderson, Respondent Former General Securities Representative CRD No. 1535750 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Peggy Jean Doherty-Punderson ("Respondent" or "Doherty-Punderson") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063842601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1535750 |
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