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by Bill Singer

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January 30, 2013



Stockbroker Charged With Outside Business Activity 
For 401k Consulting

The AWC alleges that Fuller performed 401(k) consulting services for a limited liability company without giving prior written notice of the contemplated activities or nature of his compensation.


Fern became aware that the Trust Customer was questioning the amount of 2011 trustee fees; and allegedly the stockbroker then borrowed $35,000 from another customer and used $31,764 of the borrowed funds to repay the Trust Customer's living trust.  


The frightening aspect of the allegations in this case is that the defendant largely used the popular Skype (now owned by tech giant Microsoft) and Facebook to perpetrate the worst of his apparent extortion.


UPDATE: Broker Wins Expungement Of Sleeping Dog Customer Complaint
That cute sleeping dog of a customer arbitration can wake up and give you quite a biteThis is an update of a "Street Sweeper" column that appeared on ... Read On
Did You Hear The One About The Stockbroker And His Mother In Law?
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FINRA Wrongful Termination Case Fizzles
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2011, Claimant Wojnowski, ... Read On


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