Buckner can no longer act as a broker or associate with any member of FINRA in any capacity
Joe L. Buckner has been barred by FINRA as of December 2015. As a result of his refusal to respond to the FINRA’s request for information, the Texas broker can no longer associate with any member of FINRA in any capacity.
Buckner’s employment history includes Brazos Securities in Dallas and in his early days, Merrill Lynch, Pierce, Fenner and Smith in New York, New York.
In addition to being sanctioned by the FINRA for refusing to respond to requests for information, Buckner was alleged to have taken investment money for his own business and failed to repay the client. If this complaint, which was registered by the Texas State Securities Board, is accurate, Buckner would be found guilty of an unreported private securities transaction. The allegation is still under investigation.
If you had any business dealings with Joe Buckner and lost money as a result, or have the victim of any broker’s misconduct, seeking the services of an experienced securities attorney is in your best interest.
The attorneys at Silver Law Group are industry leaders in the field of FINRA and securities arbitration, representing individual and institutional investors across the United States who have lost money at the hands of trusted financial advisors. Our services are on a contingency-fee basis, which means we are only compensated if there is a recovery of losses. Contact us today for a complimentary consultation