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.
Call Soreide Law Group for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com