Steven N. Fuller

Steven Fuller is a founding member of ALLEN/FULLER.  He began is legal career as an enforcement attorney with the United States Securities & Exchange Commission in 1987.  In 1989  he was appointed a Special Assistant United States Attorney in the District of Rhode Island.  Mr. Fuller left government service in 1991 to take a general counsel position with Banc One New Hampshire Asset Management Corporation where he served as the Litigation Manager overseeing outside counsel and handling real estate loan workouts during the wide spread collapse of the New England banking industry.  As the Banc One contract with the FDIC was winding down, Mr. Fuller joined the Boston law firm now known as Nixon Peabody.  For the next 14 years, Mr. Fuller was a litigator whose practice focused on all areas of financial services and broker/dealer litigation, including defending corporate and individual clients in enforcement and disciplinary proceedings before securities industry self-regulatory organizations, the SEC, and state agencies charged with enforcing the securities laws. He has successfully defended civil and criminal regulatory investigations in many jurisdictions nationally and regionally.  In 2007 Mr. Fuller moved his practice to Florida’s premier law firm, Akerman Senterfitt where he continued with the same legal disciplines until deciding to found his own practice in his native New Hampshire.

Mr. Fuller frequently counsels brokerage, advisory, and hedge fund clients on a full range of compliance and legal issues, including soft dollar, marketing and sales, research, directed brokerage, money laundering and Patriot Act compliance, and ADV and BD disclosure.

His experience includes having represented well-known firms and individuals in the high-profile, post-tech bubble government investigations of Wall Street research and IPO allocation practices. He frequently counsels brokerage firms on compliance and internal investigations, and has defended high-profile clients in civil and criminal prosecutions arising out of government investigations into brokerage firm and mutual fund Market Timing Practices, as well as in the investigations relating to the mutual fund and brokerage industries’ Gift and Gratuity practices. Mr. Fuller has also successfully defended numerous insider trading and "shelf space" investigations. Mr. Fuller frequently counsels brokerages on compliance and internal investigations, and has defended and prosecuted numerous civil lawsuits, administrative proceedings, government investigations, and securities industry arbitrations. In addition to having successfully litigated SEC subpoena enforcement actions, he has also litigated involuntary exchange delisting proceedings for a public company.

Mr. Fuller is a certified mediator and an accomplished trial lawyer with more than 23 favorable decisions trying cases. Mr. Fuller also represented the SEC requested Receiver in the investigation and wind-up of two SEC registered Investment Advisory Firms linked to a large and complex Ponzi scheme orchestrated by their principal, and is separately defending civil and criminal investigations of a Massachusetts hedge fund linked to the embezzlement of tens of millions of dollars.

Mr. Fuller has substantial experience defending and prosecuting non-compete and “raiding” cases, has successfully litigated numerous abusive sales practice cases including suitability, unauthorized trading, selling away, improper mark-ups/mark-downs, market manipulation, churning, and misappropriation of information, fraud, and theft offenses.

Representative Work

Prior to joining the firm, Mr. Fuller served as an enforcement attorney for the U.S. Securities & Exchange Commission in Boston, and was appointed for a term as a Special Assistant U.S. Attorney in the District of Rhode Island.

Published Work and Lectures
In law school, Mr. Fuller was a member of the Suffolk University Transnational Law Journal. Mr. Fuller is a member of the NASD’s Panel of Arbitrators, is a certified mediator in the Commonwealth of Massachusetts, and has presented courses relating to securities arbitration to Bar Association continuing legal education seminars and SEC-sponsored “Town Meetings.” 

Mr. Fuller is the author of the course materials entitled Securities Arbitration; The Practice and Recent Developments, presented at the 10th Annual New England Securities Law Conference.

Mr. Fuller was a panelist speaker at the 2004 Boston Bar Association CLE Seminar titled Corporate Governance Update—Governing in the Shadow of Scandal.

Mr. Fuller was chosen in each of the years 2004 and 2005 by a poll of his Massachusetts peers as one of Massachusetts’ Super Lawyers in the securities litigation practice area by Boston Magazine.

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