Amy Fulghum has agreed to a six-month suspension as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Fulghum became associated with Synovus Securities, Inc. beginning in March 2023 as an administrative assistant where she supported registered representatives, including by interacting with firm customers regarding their accounts. Fulghum’s association with the firm was terminated on October 3, 2023.
Fulghum became associated with another FINRA member in a similar role in April 2025. Fulghum’s association with that firm was terminated on May 22, 2025.
Although Fulghum is not currently associated with a FINRA member firm, FINRA retains jurisdiction over her pursuant to Article V, Section 4 of FINRA’s By-Laws.
From March 2023 to September 2023, Fulghum electronically signed 22 documents on behalf of nine firm customers without customer permission and electronically signed 118 documents on behalf of 97 firm customers with customer permission.
The documents included required records of the firm. The transactions were authorized and no customers complained.
Fulghum, who was associated with the firm as an administrative assistant, had the mistaken belief that signing customer names was permissible.
By forging and falsifying customer signatures, Fulghum violated FINRA Rule 2010. By causing Synovus to maintain inaccurate books and records, Fulghum violated FINRA Rules 4511 and 2010.
Respondent consented to the imposition of the following sanctions:
- a six-month suspension from associating with any FINRA member in all capacities; and
- a $5,000 deferred fine.
