Category Archives: Peoples Securities

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator

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

FINRA Case # 20130392989

According to FINRA  records, Willis was registered with   Peoples Securities, Inc. in WIllimantic, CT from 1/2010-12/2013.

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