Amy Fulghum agreed to a six -month suspension as part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Fulghum was associated with Synovus Securities, Inc. which began in March 2023 as an administrative assistant, where he supported registered representatives, including interaction with business customers on their accounts. Fulghum’s relationship with the business ended on October 3, 2023.
Fulghum was associated with another Finra member in a similar role in April 2025. Fulghum’s union with this operation ended on May 22, 2025.
Although Fulghum is not currently linked to a Finra member business, Finra maintains its jurisdiction for article V, Section 4 of the Finra regulations.
From March 2023 to September 2023, Fulghum signed 22 documents electronically on behalf of nine customer companies without a customer and signed 118 documents on behalf of 97 customer companies.
Documents included the required business files. Transactions were authorized and no customers complained.
Fulghum, who was associated with the business as an administrative assistant, had the wrong belief that the signing of the customers’ names was permissible.
With the forging and falsification of customer signatures, Fulghum violated the Finra 2010 rule. Causing the article to maintain inaccurate books and records, Fulghum violated the FINRA 4511 and 2010 rules.
The respondent agreed to the imposition of the following sanctions:
- a six -month suspension of the correlation with any FINRA member in all possibilities. and
- A deferred fine of $ 5,000.