The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552.
Roger Allan Fuller (CRD #1722316, Registered Representative, McGregor, Texas)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Fuller consented to the described sanction and to the entry of findings that he forged customers’ names and/or initials on forms, which required the customers’ authorization and submitted the forms to his member firm.
FINRA's findings also said that Fuller failed to respond to FINRA requests for information concerning the forgery allegations and security accounts held at the executing firm. (FINRA Case #2012031369801)
Roger Allan Fuller was previously registered with FINRA at the following brokerage firms:
CHASE INVESTMENT SERVICES CORP.
CRD# 25574
WACO, TX
10/2005 - 02/2012
VALIC FINANCIAL ADVISORS, INC.
CRD# 42803
HOUSTON, TX
09/2002 - 09/2005
AETNA INVESTMENT SERVICES, LLC
CRD# 34815
WINDSOR, CT
10/1993 - 12/2001
This ends the information obtained on FINRA’s website.
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