THOMAS G. FULLERTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070119207 NO. 20090180095 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas G. Fullerton, Respondent General Securities Representative and General Securities Sales Supervisor CRD No. 1838721 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2007011920701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1838721

Other names1

Also known as1

THOMAS GEORGE FULLERTON

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