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Christina Peterman Fired from Truist Investment Services

Christina Peterman (CRD #: 4064817), a broker formerly registered with Truist Investment Services, allegedly executed unauthorized transactions, according to her BrokerCheck record, accessed on June 8, 2023. Keep reading if you want to know more about her alleged conduct as a broker

Termination from Truist Investment Services

On April 17, 2023, Christina Peterman was fired from Truist Investment Services following allegations that she accessed client information without a business purpose and executed unauthorized transactions.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 3260

FINRA Rule 3260 requires brokers to receive written authorization from their clients before engaging in discretionary trading. The firm must also approve the designation of an account as discretionary before this trading can occur.

Background Information

Christina Peterman has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 10 – General Securities Sales Supervisor – General Module Examination
  • Series 9 – General Securities Sales Supervisor – Options Module Examination

She previously worked for the following firms:

  • Truist Investment Services (CRD#:17499)
  • Wells Fargo Clearing Services (CRD#:19616)
  • Raymond James & Associates (CRD#:705)
  • Deutsche Bank Securities (CRD#:2525)
  • DB Alex. Brown (CRD#:17790)

Kurta Law Can Help

If you worked with Christina Peterman and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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