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Christopher Fusco Resigns After Allegedly Altering Client Documents

Dec 28, 2021 Fired Brokers

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.  

Termination Details 

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 info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.