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
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.
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