JOSEPH PATRICK FULLER is currently employed as a Broker and/or Investment Adviser at CAPE SECURITIES INC. located at 42 WEST 38TH STREET, STE 402, NEW YORK, NY, 10018.
JOSEPH PATRICK FULLER has worked at CAPE SECURITIES INC. since August 07, 2017
Disclosure History
JOSEPH PATRICK FULLER has 7 Disclosure Event(s).
Date: July 06, 2016 Category: Employment Separation After Allegations Firm Name: Cape Securities, Inc Termination Type: Permitted to Resign Allegations: Unauthorized Trading Broker Comment: I vehemently deny this baseless allegation. It is my belief the client is confused and dishonest in his statements.
Date: February 22, 2013 Category: Customer Dispute Allegations: CUSTOMER ALLEGES FAILURE TO FOLLOW INSTRUCTIONS RESULTING IN DAMAGES OF APPROXIMATELY $12,181.74. Damage Amount Requested: $12,181.74 Settlement Amount: $1,200.00 Broker Comment: THE FIRM ADDRESSED CUSTOMER'S CONCERNS BY ADJUSTING COMMISSIONS BY A $1200.00. [CUSTOMER] REMAINS A CUSTOMER OF THE REGISTERED REPRESENTATIVES AND ALSO RETRACTED A PORTION OF HIS ALLEGATIONS IN AN EMAIL TO THE FIRM.
Date: December 18, 2009 Category: Judgment / Lien Judgment/Lien Amount: $1,761.00 Judgment/Lien Type: Civil Broker Comment: I ONLY LEARNED OF THE JUDGMENT/LIEN THROUGH A FINRA INQUIRY AND HAVE DISCLOSED TO SATISFY MY OBLIGATION. I DO NOT BELIEVE THAT THIS JUDGMENT IS ACTUALLY RELATED TO ME.
Date: September 17, 2007 Category: Employment Separation After Allegations Firm Name: FORDHAM FINANCIAL MANAGEMENT, INC. Termination Type: Discharged Allegations: JOSEPH FULLER GAINED UNAUTHORIZED ACCESS TO THE FIRM. ONCE WITHIN THE FIRM'S OFFICES, HE FURTHER GAINED UNAUTHORIZED ACCESS TO PRIVATE OFFICES. MR. FULLER STOLE THE FIRM'S ACCOUNT RECORDS, OTHER BROKER'S ACCOUNT RECORDS, AND COMPANY PROPERTY. ADDITIONALLY, HE LEFT THE FIRM OWNING AT LEAST $1750.00. Broker Comment: THE ABOVE ALLEGATIONS ARE TOTALY FALSE AND WITHOUT MERIT.THE ABOVE ALLEGATIONS ARE NOTHING MORE THAN SCARE TACTICS AND DONE MALICIOUSLY TO TRY AND KEEP ME AT FORDHAM.
Date: May 10, 2006 Category: Judgment / Lien Judgment/Lien Amount: $839.00 Judgment/Lien Type: Civil Broker Comment: I only learned of the judgment/lien through a FINRA inquiry and have disclosed to satisfy my obligation. I do not believe that this judgment is actually related to me.
Date: October 11, 2005 Category: Judgment / Lien Judgment/Lien Amount: $149.00 Judgment/Lien Type: Civil Broker Comment: I only learned of the judgment/lien through a FINRA inquiry and have disclosed to satisfy my obligation. I do not believe that this judgment is actually related to me.
Date: June 19, 2005 Category: Criminal Charges: FELONY -- 1 ASSAULT BY MEANS OF A DANGEROUS WEAPON (ABDW):ASSAULT AND BATTERY INJURIES. MR. FULLER PLEAD "NOT GUILTY" Charge Type: FELONY Disposition: ALL CHARGES WERE "DISMISSED FOR WANT OF PROSECUTION" Broker Comment: THE ARREST RESULTED FROM A FIGHT IN A BAR IN WHICH MR. FULLER WAS A PATRON. MANY PEOPLE WERE ARRESTED. MR. IT IS MR. FULLER'S POSITION AND THAT OF SEVERAL WITNESSES THAT HE WAS IN FACT MISIDENTIFIED. NO EYEWITNESSES IDENTIFIED MR. FULLER AS INVOLVED AND THE CARE WAS THEREFORE DISMISSED. THE TRIAL NEVER TOOK PLACE.
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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