March 2, 2015 – Willimantic, CT
Tricia D. Willis entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she converted customer funds to personal use by signing the customer’s name on 28 withdrawal slips without the customer’s authorizations in violation FINRA Rule 2010
Willis was barred from association with any FINRA member in any capacity
According to FINRA records, Willis was registered with Peoples Securities, Inc. in WIllimantic, CT from 1/2010-12/2013.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
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