CHRIS FULCO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CHRIS FULCO, CRD No. 4093586, RESPONDENT. DISCIPLINARY PROCEEDING No. 2011030015301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Chris Fulco facilitated the sale of stock in US Coal Corporation, Inc. ("US Coal"), in numerous private securities transactions away from his firm. As compensation for facilitating these transactions, Fulco received wire transfers total
12/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Chris Fulco, CRD No. 4093586 Respondent Disciplinary Proceeding No. 2011030015301 Hearing Officer: KBW Date: December 17, 2014 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2011030015301 was filed on April 23, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Chris Fulco submitted
Reference 2011030015301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4093586 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.