(CRD #4805463, Athens, Georgia)

October 13, 2025 – An AWC was issued in which Amy Fulghum was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for six months. Without admitting or denying the findings, Fulghum consented to the sanctions and to the entry of findings that she forged and falsified customer signatures by electronically signing documents on behalf of nine customers at her member firm without permission and electronically signing documents on behalf of 97 firm customers with permission. The findings stated that the documents included required records of the firm. The transactions were authorized and no customers complained. Fulghum had the mistaken belief that signing customer names was permissible. The suspension is in effect from October 20, 2025, through April 19, 2026. (FINRA Case #2023080354702) If you have suffered losses as a result of Amy Fulghum's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Amy Fulghum. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at  (813) 226-3372 or email Matthew Schwartz directly at mschwartz@tslfirm.com.