Investors reportedly complained about securities broker Barry Luther Buchholz (also known as Barry Bucholz) [CRD: 1583582, Cedar Rapids, Iowa], according to disclosures on FINRA BrokerCheck. Evidently, Buchholz worked for LPL Financial LLC from October 11, 2021, to November 29, 2024; Private Client Services LLC from April 25, 2018, to October 7, 2021; and Cambridge Investment Research Inc. from November 14, 2011, to May 2, 2018. Keep reading to learn more about disclosures relating to Buchholz.
Evidently, on January 18, 2024, an LPL Financial LLC client filed a complaint about Barry Buchholz. Primarily, the client alleged that Buchholz engaged in unauthorized trading. Because of this, the investor allegedly incurred damages linked to mutual funds. For this reason, the client requested $10,000 in compensation from LPL Financial LLC or Buchholz. The matter was closed with no action on January 6, 2025.
Particularly, a client of LPL Financial LLC took aim at Barry Buchholz’s sales practices, according to a complaint. Allegedly, Buchholz engaged in unauthorized trading involving mutual funds. As a result LPL Financial LLC agreed to settle the matter on August 27, 2024, by paying compensation amounting to $10,683.51.
Also, a client filed a complaint about Barry Buchholz. Allegedly, Buchholz engaged in unauthorized trading regarding mutual funds. Consequently, on August 7, 2024 LPL Financial LLC settled this matter by paying the client $9,893.52 in damages.
Additionally, a client of Private Client Services LLC disputed Barry Buchholz’s sales practices, according to a complaint dated February 13, 2023. Allegedly, Buchholz failed to disclose a surrender charge on an annuity, misrepresented information about liquidity, and made an unsuitable recommendation concerning variable annuities. As a result, the client sought compensatory damages from Private Client Services LLC or Buchholz in the amount of $131,725.00 in this matter. However, the firm denied this complaint.
Do you have concerns or questions regarding investments you made with Barry Buchholz? You can get in touch with Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer about a possible recovery. For over a decade, Soreide Law Group has recovered losses for investors throughout the US. Also, the firm takes cases on a contingency fee basis and advances all costs. Buchholz and brokerage firms Buchholz worked for deny accusations referenced within these public disclosures.
KEVIN CHRISTOPHER MCCARTHY (KEVIN C MCCARTHY) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/7/2026. McCarthy was registered as a broker with MADISON AVENUE SECURITIES LLC of Hialeah, Florida, from 12/04/2007 - 01/30/2026. McCarthy was previously registered both as a broker […]
Investors might have sustained losses due to securities broker William H. Grant [CRD: 4219455, Duluth, Georgia], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Grant has been registered with Merrill Lynch since October 23, 2009, as both a securities broker and financial advisor. Investors are encouraged to continue reading to find […]
Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com