According to FINRA’s Disciplinary and Other FINRA Actions publication, Sam Marshall Stull (CRD No. 5268858), a former Texas and Florida broker, was barred by FINRA for allegedly forging the signatures of clients on member firm documents.
FINRA alleged that Stull forged clients’ signatures on documents including beneficiary information sheets, investment switch letters, and account profile confirmations. FINRA further alleged that Stull failed to provide documents and information requested by FINRA, relating to an investigation into the forgery. (See FINRA AWC No. 2014042589601)
According to FINRA’s Broker Check Sam Marshall Stull was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Stull was registered in the securities industry for seven (7) years with the following firm(s):
TD AMERITRADE, INC.
CRD #7870
FORT WORTH, TX
09/2014 – 10/2014
J.P. MORGAN SECURITIES, LLC
CRD #79
BOYNTON BEACH, FL
08/2013 – 08/2014
TD AMERITRADE, INC.
FT. LAUDERDALE, FL
CRD #7870
09/2010 – 07/2013
FIDELITY BROKERAGE SERVICES, LLC
CRD #7784
WESTLAKE, TX
11/2007 – 06/2007
M & W FINANCIAL, INC.
CRD #131743
SOUTHLAKE, TX
02/2007 – 06/2007
If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.