May 2017- Dallas, TX
The FINRA records of Joe L. Buckner, a former stockbroker who was last employed by Brazos Securities discloses a prior regulatory event, a pending customer dispute, a regulatory investigation and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 12/2015 Buckner was permanently barred from the securities industry by FINRA for failing to respond to FINRA’s request for information.
In 3/2015, Buckner was the subject of an investigation by the Texas State Securities Board involving an investor complaint.
Brazos Securities reports that a customer alleges to have invested $25,000 into a business owned by Buckner that has not been paid back to them. That matter is currently pending.
Buckner was employed by Brazos Securities from 10/1996-5/2015. He was also employed by Maplewood Investment Advisors and La Jolla Capital Corp.
If you have questions about an account handled by Joe L. Buckner call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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