Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows that four or more investors brought complaints or lawsuits against securities broker John Seiberling Fulton (CRD#: 2481439, West Palm Beach, Florida). Apparently, these investors suggest that Fulton, who has worked for UBS Financial Services since 2002, caused their losses by selling unsuitable and misrepresented investments. Let’s take a closer look at some of these alarming allegations against Fulton.
Notably, a client of UBS Financial Services brought a lawsuit to the firm’s attention in April 2020 about Fulton. It seems that John Fulton might have made unsuitable trades and misrepresented information in connection with those trades. Supposedly, from 2017 to 2019, his options overlay strategy was allegedly problematic for investors. For losses sustained as a result of Fulton’s actions, the client has asked UBS Financial Services to pay $1,400,000. FINRA BrokerCheck indicates that Fulton denies all allegations.
Evidently, a UBS Financial Services client took aim at John Fulton through an October 2018 complaint. It appears that from 2017 to 2018, Fulton was a financial advisor for the client. In this position, Fulton allegedly recommended bad structured products. The client indicated that Fulton did not converse with the client about investment characteristics. He also supposedly failed to consider the client’s objectives and liquidity needs. For this reason, the client suggested that Fulton’s structured products recommendations were unsuitable. Adding insult to injury, it appears that Fulton concentrated the client in risky investments. However, the securities firm denied this client’s complaint in December 2018.
FINRA BrokerCheck also shows that a Deutsche Bank Securities client accused John Fulton of excessive trading and failing to follow instructions. In addition, that client indicated that Fulton breached a fiduciary duty, failing to place the client’s interests first. For this reason, the client demanded a quarter million dollars in compensation in the complaint. However, the securities firm denied this complaint.
FINRA BrokerCheck indicates that John Fulton denies all allegations of misconduct as referenced in disputes about his sales practices.
Experienced losses by investing with John Fulton? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with experienced counsel concerning a possible recovery of your investment losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The law firm has recovered millions of dollars for clients who have incurred losses due to misconduct of securities firms and brokers like Fulton.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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