Christopher Fusco Resigns After Allegedly Altering Client Documents
Christopher Fusco (CRD #:4678634), a former registered broker, recently resigned from his position at Merrill Lynch, Pierce, Fenner & Smith Incorporated, according to his BrokerCheck record, accessed on November 29, 2021.
On October 8, 2021, Merrill Lynch, Pierce, Fenner & Smith Incorporated fired Christopher Fusco after allegedly altering client documents and failing to safeguard client information, thus violating firm policy.
FINRA requires firms to maintain accurate records. FINRA Rule 4511 states that firms “shall make and preserve books and records as required under the FINRA Rules, the Exchange Act and the applicable Exchange Act rules.”
FINRA Rule 4511 applies to customer account information, communications between brokers and investors, as well as records of written customer complaints. By allegedly causing Merrill Lynch, Pierce, Fenner & Smith Incorporated to make or preserve inaccurate records, Christopher Fusco also violated FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.
Christopher Fusco Background Information
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 55 – Limited Representative-Equity Trader Exam
- Series 25 – NYSE Trading Assistant Examination
- Series 7 – General Securities Representative Examination
Christopher Fusco has also worked with the following firms:
- Tocqueville Securities (CRD#:26001)
- Robert G. Pears & Co. CRD#:32215)
- Dag Securities (CRD#:44376)
- Citigroup Global Markets (CRD#:7059)
Kurta Law Can Help
If you have worked with Christopher Fusco and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
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