RICHARD JOSEPH FUCILLO is currently employed as a Broker and/or Investment Adviser at GWN SECURITIES INC. located at 220 Winthrop Street Suite 303, Winthrop, MA, 02152.
RICHARD JOSEPH FUCILLO has worked at GWN SECURITIES INC. since March 02, 2015
RICHARD JOSEPH FUCILLO has 3 Disclosure Event(s).
Date: March 19, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGES HE WOULD LIKE TO TERMINATE HIS VARIALBE ANNUITY WITHOUT THE IMPOSITION OF A WITHDRAWAL CHARGE DUE TO THE FACT THAT THE AGENT DID NOT DISCLOSE ADMINISTRATION FEES, SURRENDER FEES, AND SPECIFIC PERIODS OF TIME THAT THE MONEY WOULD NEED TO REMAIN IN THE ACCOUNT. DAMAGES UNSPECIFIED. Settlement Amount: $19,579.75 Broker Comment: WITHOUT ADMITTING FAULT OR LIABILITY, THE PARTIES AGREED TO SETTLE THE MATTER. AXA EQUITABLE AGREED TO THE SURRENDER OR TRANSFER OF THE ANNUITY CONTRACT TO ANOTHER CARRIER, WITHOUT THE IMPOSITION OF A WITHDRAWAL CHARGE. LOSS TO FIRM: $19,579.75.
Date: October 10, 2007 Category: Regulatory Initiated By: COMMONWEALTH OF MASSACHUSETTS, DIVISION OF INSURANCE Allegations: FAILURE TO DISCLOSE INDICTMENTS: MAYHEM, AGGREVATED ASSAULT AND BATTERY, TWO INDICTMENTS OF ASSAULT AND BATTERY, AND VIOLATION OF A RESTRAINING ORDER WITHIN 30 DAYS OF THE INTITIAL PRETRIAL HEARING. Resolution: Settled SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $500.00 Sanction Details: MASSACHUSETTS DIVISION OF INSURANCE ACCEPTED A SIGNED SETTLEMENT LETTER DATED OCTOBER 10, 2007 AND A $500.OO FINE. THE INVESTIGATION WAS CLOSED ON OCTOBER 17, 2007.
Date: May 08, 2007 Category: Criminal Charges: 1) MAYHEM - FELONY,2) AGGREVATED ASSAULT & BATTERY - FELONY, 3) 2 CHARGES ASSAULT & BATTERY - FELONY, AND 4) VIOLATION OF RESTRAINING ORDER ~ PLEA FOR ALL CHARGES WAS NOT GUILTY Charge Type: FELONY Disposition: 1) MAYHEM -NOT GUILTY VERDICT - 4/28/20082) AGGREVATED ASSAULT & BATTERY - NOT GUILTY VERDICT - 4/28/2008, 3) TWO CHARGES ASSAULT & BATTERY - NOT GUILTY VERDICT - 4/28/08, AND 4) VIOLATION OF RESTRAINING ORDER -ABUSE PREVENTION ORDER - NOT GUILTY VERDICT - 4/28/08
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