Joseph Patrick Fuller of New York New York a stockbroker formerly registered with Spartan Capital Securities is the subject of a customer initiated investment related arbitration claim in which the customer requested $6,645,956.00 in damages based upon accusations that (1) fiduciary duties owed to the customer had been breached (2) misrepresentations were made by the stockbroker (3) common and preferred stock transactions were in no way suitable and (4) the customer’s account had been churned during the time that Fuller was associated with Spartan Capital Securities LLC. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-03407 (Sept. 27, 2018).
FINRA Public Disclosure additionally confirms that Fuller has been twice terminated from employment by a securities broker dealer supported by allegations of misconduct. Specifically, Fuller was discharged by Fordham Financial Management Inc. founded on accusations that he stole account related documents from the firm and procured unauthorized access to Fordham’s private office location. Fuller was terminated by his subsequent securities broker dealer employer, Cape Securities Inc., based upon allegations of executing trades in a customer account without the customer’s consent.
Since August 15, 2019, Fuller has been registered with Worden Capital Management LLC.
