Amy Fulghum
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/13/2025: From March 2023 to September 2023, Fulghum electronically signed 22 documents on behalf of nine firm customers without permission and electronically signed 118 documents on behalf of 97 firm customers with permission. The documents included required books and records of the firm. Therefore, Fulghum violated FINRA Rules 2010 and 4511. For these violations, Fulghum is suspended from associating with any FINRA member in all capacities for six months and fined $5,000...
Reference 2023080354702data-portal.finra.orgfinra.org
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