FINRA findings dated October 9, 2026 state that Buddy Mason (CRD 1721391) refused to provide documents and information FINRA requested, according to his BrokerCheck report. Mason consented to the sanction and to the entry of findings without admitting or denying them. BrokerCheck lists the matter as a regulatory event, names LPL Financial as the firm and gives case number 2025088717701.
FINRA requested the documents and information during an investigation into a statement of claim. One of his former customers had filed that claim against his member firm. The findings stated that the firm had filed a Form U5 amendment for Buddy Mason disclosing a customer complaint. The findings add that the complaint alleged he had presented an investment opportunity away from the firm.
Rule 8210 lets FINRA ask any person under its jurisdiction for documents, information and testimony during an investigation. A broker who receives a request has to answer it, and that duty does not end when he leaves a firm. Refusing is a rule violation on its own, separate from whatever FINRA set out to examine. FINRA can act on the refusal even when it never reaches a conclusion on the original question.
A member firm files a Form U5 when a broker leaves, and it amends that filing when something new comes to light, such as a customer complaint. When we review a finding like this, we read it on its own terms and draw no conclusion about the underlying complaint. The finding on Buddy Mason's record concerns the refusal itself.
A customer dispute filed on December 29, 2025, FINRA case 25-02617, settled on March 31, 2026, according to Buddy Mason's BrokerCheck report. The disclosure lists Direct Investment-Dpp & LP, alleged damages of $175,000 and a settlement amount of $129,500.
A later dispute, filed on May 26, 2026, settled on June 16, 2026 for $10,000 against alleged damages of $100,000. BrokerCheck shows LPL Financial as the firm, and the disclosure text says the advisor presented an investment opportunity away from the firm.
FINRA Rule 8210 lets FINRA require documents, information, and on-the-record testimony during an investigation. The rule covers member firms and the people who work for them. Refusing to comply is also a violation in itself. As a result, a refusal often leads to a bar from the securities industry.
Every FINRA member firm must supervise its brokers. Investors with questions about an account Buddy Mason handled can call Soreide Law Group at (888) 760-6552. You can also reach us online. Our attorneys represent investors in FINRA arbitration nationwide. We take these cases on a contingency fee basis. You can read more about how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 19, 2026. Allegations in customer complaints and arbitrations are claims, not findings. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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