Harry John Buckman Jr (CRD#: 2202467, Little Silver, New Jersey) is presently the senior vice president of Buckman, Buckman & Reid, Inc., a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) with main offices in Little Silver, New Jersey that conducts securities business in all 50 states. FINRA disclosed on Harry John Buckman’s BrokerCheck file that it is investigating him for failing to supervise the firm’s business practices.
Specifically, FINRA disclosed on July 21, 2017 that it is investigating Buckman’s possible violations of FINRA Rules 3110 and 2010. According to FINRA Rule 3110, a member is required to establish and maintain a system to supervise each associated person’s activities. Accordingly, the supervision system is supposed to be reasonably designed to ensure compliance with FINRA Rules, securities laws and regulations. When a brokerage firm or overseer does not adequately supervise in this regard, they often run afoul of Rule 3110. FINRA has typically fined and suspended registered representatives for neglecting to supervise.
Buckman’s FINRA BrokerCheck profile also shows that at least two Buckman, Buckman & Reid customers have alleged that Harry John Buckman Jr is liable for sales practice violations:
On July 25, 2016, a Buckman, Buckman & Reid, Inc. customer submitted a written complaint. That customer claimed that unsuitable corporate debt investments were purchased in the customer’s brokerage account. The customer’s claim was closed without further action on January 31, 2018.
A Buckman, Buckman & Reid, Inc. customer brought NASD Arbitration #02-05054 on August 28, 2002, naming Buckman as a respondent. According to the Arbitration Award dated December 22, 2003, The Arbitration Panel found that Buckman, as branch manager, was responsible for excessive and unsuitable trades in the customer’s account. As a result, the Panel ordered Buckman to pay the customer $75,000.00 in damages.
Has a Buckman, Buckman & Reid, Inc. registered representative caused you to suffer investment losses? If so, contact the attorneys at Soreide Law Group at (888) 760-6552. Our firm has recovered millions of dollars for investors who were victim to excessive and unsuitable trading. We represent clients on a contingency fee basis and advance all costs.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
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.
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