Securities Arbitration Lawyers BlogTiffany Peacock-Asakawa Gets 10-Month Suspension Following Allegations of False Representation and Document Falsification
Broker was also fined $15,000 for accepting trade orders she was not licensed to accept
Tiffany Peacock-Asakawa was suspended from practicing in the securities industry for 10 months in August, following allegations that she was involved in false representation and the falsification of records of trade orders at her member firm, according to FINRA.
According to FINRA reports, Peacock-Asakawa allegedly accepted trade orders that she was not licensed to accept, as she was not registered as a financial adviser in Hawaii. Sanctions were levied against her in the form of a 10-month suspension from the industry and a $15,000 fine.