Chris Fulco (CRD #4093586, Staten Island, New York)
barred by FINRA for allegedly participating, either directly or indirectly, in the sales of a non-public company’s shares away from his member firms without providing written notice to or receiving approval from his firms.
FINRA's findings stated that Fulco concealed his involvement in the transactions, from one of his firms, by lying on the firm’s compliance questionnaire. FINRA's findings also stated that Fulco misrepresented his involvement in the transactions during his FINRA testimony. Fulco falsely testified that wire transfers he received were not payments relating to the transactions and that he did not use his personal email account to communicate with the company.
FINRA's findings also included that Fulco encouraged another person not to appear for his scheduled on-the-record interview with FINRA or, if he did, to provide false testimony. FINRA found that Fulco willfully failed to timely disclose a federal tax lien and civil judgment on his Form U4. (FINRA Case #2011030015301)
Chris Fulco was registered in the securities industry for 10 years and was previously registered with the following securities firms:
06/2013 - 11/2013 CHELSEA FINANCIAL SERVICES (CRD# 47770) - STATEN ISLAND, NY
10/2012 - 04/2013 AVENIR FINANCIAL GROUP (CRD# 148490) - NEW YORK, NY
06/2012 - 10/2012 JOHN CARRIS INVESTMENTS LLC (CRD# 145767) - HOBOKEN, NJ
FINRA expelled the firm in 08/2014
02/2012 - 04/2012 OLSON, CROSS & ALAMO LLC (CRD# 157249) - NEW YORK, NY
04/2011 - 12/2011 CALDWELL INTERNATIONAL SECURITIES (CRD# 104323) - FISCHER, TX
07/2010 - 02/2011 CHARLES MORGAN SECURITIES, INC. (CRD# 138887) - NEW YORK, NY
06/2007 - 06/2010 VFINANCE INVESTMENTS, INC (CRD# 44962) - NEW YORK, NY
06/2006 - 06/2007 BRILL SECURITIES, INC. (CRD# 18565) - NEW YORK, NY
02/2006 - 06/2006 CLARK DODGE & CO., INC. (CRD# 23288) - NEW YORK, NY
07/2005 - 02/2006 GREAT EASTERN SECURITIES, INC. (CRD# 2061) - NEW YORK, NY
06/2005 - 07/2005 ROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131) - NEW YORK, NY
11/2004 - 05/2005 INDEPENDENT SECURITIES INVESTORS CORPORATION (CRD# 43598) - CHIPLEY, FL
06/2004 - 12/2004 J.P. TURNER & COMPANY, L.L.C. (CRD# 43177) - ATLANTA, GA
09/2003 - 06/2004 NATIONAL SECURITIES CORPORATION (CRD# 7569) - SEATTLE, WA
04/2003 - 08/2003 BISHOP, ROSEN & CO., INC. (CRD# 1248) - NEW YORK, NY
10/2002 - 04/2003 LEGEND SECURITIES, INC. (CRD# 44952) - NEW YORK, NY
04/2002 - 10/2002 FIRST MONTAUK SECURITIES CORP. (CRD# 13755) - RED BANK, NJ
This ends the summarized information from FINRA's February 2015 Disciplinary report.
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Soreide Law Group, PLLC At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights. […]
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