March 30, 2015, Grapevine, Texas
Sam Marshall Stull entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of customers on firm documents including beneficiary information sheets, investment switch letters and account profile confirmations.
The findings also state that Stull failed to provide documents and information related to an investigation of the forgery.
Stull was permanently barred from association with any FINRA member.
According to FINRA records, Stull was registered as follows:
- TD Ameritrade 9/2014-10/2014
- J.P. Morgan Securities 8/2013-8/2014
- TD Ameritrade 9/2010-7/2013
- Fidelity Brokerage 11/2007-8/2010
If you suffered losses in an account handled by Stull you may be able to recover damages from his employing firm. Call to discuss your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900