Articles Tagged with Texas Broker

Marcos Yanez, former LPL Financial Broker Under Investigation Over Variable Annuities Misrepresentation Allegations

April 26, 2017 | Silver Law Group

Silver Law Group is investigating former Dallas, Texas-based LPL Financial LLC (CRD# 6413) broker Marcos Yanez (CRD# 5353857) over allegations that Yanez misrepresented certain aspects in the sale of a variable life insurance policy amidst other allegations.

According to Yanez’s FINRA BrokerCheck report, a customer filed a complaint against Yanez in March 2017. The FINRA arbitration complaint alleges misrepresentations in the sale of a variable life insurance policy, and that Yanez advised the customer to take out a margin loan in order to loan money to the advisor.

LPL Financial employed Yanez from December 2011 to March 2016 at its Dallas, Texas branch. According to Yanez’s detailed CRD report, Yanez operated under the moniker Staib Wealth Management from February 2014 until the name changed to Silver Sail Wealth Advisors in February 2015. Yanez is no longer registered with FINRA.

FINRA Permanently Bars Texas Broker Joe L Buckner

January 17, 2016 | Silver Law Group

FINRA Permanently Bars Texas Broker Joe L Buckner on silverlaw.com

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.