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Buckman Buckman and Reid

William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL

William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL 150 150 Rex Securities Law

William L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records,  William L. Baumner, IV ,   a previously registered stockbroker who last worked for Tradespot Markets and  Buckman, Buckman & Reid   discloses  a…

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Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry

Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry 150 150 Rex Securities Law

April 2018- Little Silver, New Jersey Ron Jason Ison , a former stockbroker who last was employed by Buckman, Buckman & Reid, was permanently barred from the securities industry by…

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Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ

Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ 150 150 Rex Securities Law

August 2017 – Shrewsbury, NJ According to publicly available records  Glenn Robert King (CRD#2191091) , a former stockbroker who was last registered with Buckman, Buckman & Reid, Inc. disclose a regulatory event,…

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Jason H. Klabal-Former Legend Securities Broker-Discloses Customer Disputes

Jason H. Klabal-Former Legend Securities Broker-Discloses Customer Disputes 150 150 Rex Securities Law

January 2017- New York According to publicly available records Jason H. Klabal , (CRD# 2910714) ,  a  stockbroker who is currently employed by Alexander Capital,  disclose 2 currently pending customer disputes. The Financial Industry…

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Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ

Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ 150 150 Rex Securities Law

UPDATE OCTOBER 2017–Dwarka Persaud Suspended-In August 2017 FINRA suspended Persaud for 18 months to resolve allegations that he violated the terms of a heightened supervision agreement which he and his…

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Carlo W. Corzine Settles Customer Complaint- Tactical Air Defense Inc.

Carlo W. Corzine Settles Customer Complaint- Tactical Air Defense Inc. 150 150 Rex Securities Law

March 27, 2016 FINRA records report that Carlo W. Corzine, who is currently registered with Dawson James Securities in Boca Raton, FL, recently settled a customer dispute. The complaint alleged…

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Buckman Buckman & Reid Sanctioned by Regulators

Buckman Buckman & Reid Sanctioned by Regulators 150 150 Rex Securities Law

November 12 , 2015 Buckman, Buckman & Reid  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while accepting and holding six customer…

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Buckman, Buckman & Reid Sanctioned by Securities Regulator

Buckman, Buckman & Reid Sanctioned by Securities Regulator 150 150 Rex Securities Law

January 26, 2015- Buckman, Buckman & Reid and John Buckman, its chairman and CEO ,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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