JOSEPH RILEY FULTZ is currently employed as a Broker and/or Investment Adviser at FIDELITY BROKERAGE SERVICES LLC located at 100 HOWE DRIVE, COVINGTON, KY, 41015.
JOSEPH RILEY FULTZ has worked at FIDELITY BROKERAGE SERVICES LLC since November 17, 2015
Disclosure History
JOSEPH RILEY FULTZ has 3 Disclosure Event(s).
Date: April 03, 2018 Category: Customer Dispute Allegations: The customer claimed that the registered representative informed him that he could take a partial distribution from his 401(k) and roll the remaining balance of his 401(k) to an IRA. When the customer called back a couple weeks later to complete the transaction, the customer agreed to a full rollover of 401(k) assets to an IRA and a partial distribution from the IRA. The customer alleged that he was subject to a 10% penalty on the distribution from his IRA which would not have been incurred had the distribution been taken from the 401(k). Damage Amount Requested: $8,000.00 Settlement Amount: $6,000.00
Date: January 20, 2012 Category: Criminal Charges: Fail/Report Child Abuse/Neglect - 48.981(2) Disposition: Dismissed Broker Comment: 3 counts dismissed2 counts found not guilty
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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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