Joseph Patrick Fuller, of New York, New York, a stockbroker registered with Cape Securities, Inc., was terminated from employment on July 6, 2016, based upon allegations that Fuller effected unauthorized trades in a firm customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on March 7, 2013, at which time Fuller was registered with Spartan Capital Securities, LLC, a customer initiated investment related written complaint involving Fuller’s conduct was settled for $1,200.00 in damages, based upon allegations that Fuller failed to execute upon the customer’s instructions concerning over-the-counter equity transactions.
Beginning on November 15, 2016, Fuller has been associated with Salomon Whitney Financial. Since February 13, 2007, Fuller has been associated with eleven different broker dealers, seven of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroch
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