LINDA JOAN FULGENZI is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 1001 Bishop Street, Suite 2920, Honolulu, HI, 96813.
LINDA JOAN FULGENZI has worked at RAYMOND JAMES & ASSOCIATES, INC. since November 28, 2017
Disclosure History
LINDA JOAN FULGENZI has 3 Disclosure Event(s).
Date: February 14, 2018 Category: Customer Dispute Allegations: The customer alleges misrepresentation from February 2013 to May 2013. Damage Amount Requested: $24,820.81 Broker Comment: I deny any and all allegations regarding [customer] 401k plan. The contract was reviewed in person with [customer] and signed by her which included details on Market Value Adjustments and potential plan termination surrender fees. I did not advise [customer] to invest in specific investment choices or to terminate the plan.
Date: April 25, 2008 Category: Customer Dispute Allegations: COMPLAINT ABOUT AUCTION RATE SECURITIES THAT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS AND MISREPRESENTATION. DAMAGES UNSPECIFIED Settlement Amount: $550,087.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE TRANSACTION(S) AT ISSUE TOOK PLACE BEFORE MID-FEBRUARY 2008, WHEN THE ARS MARKET SUFFERED WIDESPREAD AUCTION FAILURES AND ILLIQUIDITY. THE FINANCIAL ADVISOR DID NOT CAUSE, CONTRIBUTE OR HAVE ANY CONTROL WHATSOEVER OVER THESE MARKET EVENTS. THE FIRM REACHED AGREEMENT WITH CERTAIN OF ITS REGULATORS, PURSUANT TO WHICH IT REPURCHASED ARS FOR THEIR FULL PAR VALUE FROM CERTAIN CLIENTS, INCLUDING THE INSTANT CLIENT, WHETHER THEY COMPLAINED OR NOT. THE FINANCIAL ADVISOR WAS NOT A PARTY TO THAT AGREEMENT, DID NOT MAKE ANY PAYMENT TO THE CLIENT, AND WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, AS REQUIRED BY FINRA REGULATORY NOTICE 09-12.
Date: August 12, 2003 Category: Customer Dispute Allegations: ANONYMOUS LTR REC'D WHICH CONTAINED ALLEGATION, WITHOUT FURTHER DETAIL, THAT THE FC ASSIGNED TO THE ACCOUNT "EMBEZZLED FUNDS". ALSO ALLEGES THAT CLIENT HAS NOT BEEN RECEIVING STATEMENTS ON A REGULAR BASIS.
More Information
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.
To view the full report for LINDA JOAN FULGENZI, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.