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Peggy Hensley Fined by State of Tennessee

Peggy Hensley (CRD #: 2848921), a broker registered with PFS Investments, was recently fined by the State of Tennessee, according to her BrokerCheck record, accessed on March 29, 2023. If you want to know more about her alleged conduct as a broker, read on.

Fine by State of Tennessee

On January 18, 2023, the Tennessee Department of Commerce & Insurance alleged that Peggy Hensley violated the Tennessee Code by completing and submitting an Insurance Business Application on behalf of an individual without that individual’s permission. This application allegedly included personal information such as the individual’s social security number.

Peggy Hensley was fined $2,000.

FINRA Rule 2010

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

Background Information

Peggy Hensley has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Peggy Hensley is a registered broker in Tennessee.

Kurta Law Can Help

If you worked with Peggy Hensley 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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