Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 5, 2018 indicate that former Nevada-based Innovation Partners broker/adviser Patricia Peterson has been sanctioned by FINRA in connection to alleged rule violations and was temporarily suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Peterson (CRD# 1962901).
Patricia Peterson has spent 28 years in the securities industry and has been registered with Innovation Partners in Henderson, Nevada since January 2018. Previous registrations include Innovation Partners in Henderson, Nevada (2015-2017); WFG Investments in Henderson, Nevada (2009-2015); Valic Financial Advisors in Las Vegas, Nevada (1999-2009); and the Variable Annuity Marketing Company in Houston, Texas (1989-2001). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on June 5, 2001; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on February 1, 1999; Series 7 (General Securities Representative Examination), which she obtained on April 25, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on July 8, 1989. She is a registered broker and investment adviser with two US states: California and Ohio.
According to her BrokerCheck report, Patricia Peterson has been sanctioned by FINRA and was discharged from a former employer in connection to alleged rule violations.
In November 2017 FINRA sanctioned her following allegations she exercised discretion in client accounts without receiving written authorization from these customers or her firm’s acceptance of the accounts as discretionary. She was issued a 20-day suspension and a fine of $7,500.
In 2015 she was terminated from her position at WFG in connection to allegations she failed to follow firm policies regarding the handling of customer paperwork and additionally that she exercised unauthorized discretion in retail client accounts.
If you have lost money investing with Patricia Peterson, you may be entitled to recoup your losses. Call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.