Soreide Law Group, PLLC, a Securities Arbitration Law Firm, phone (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.”
William Howard Buckley (CRD #3074452, Registered Representative, Punta Gorda, Florida)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Buckley consented to the described sanction and to the entry of findings that he converted approximately $5,000, while serving as an officer of a non-profit educational organization, by making cash withdrawals from automated teller machines (ATMs) and using the cash for his personal benefit without the organization’s knowledge or permission.
FINRA's findings also stated that Buckley repaid the amounts he withdrew within a short period, usually 30 days. The findings also stated that Buckley borrowed $3,500 from one of his customers without his firm’s knowledge or permission and in violation of the firm’s WSPs. The loan arrangement did not meet any of the three exceptions outlined in the firm’s procedures prohibiting loans between customers and registered representatives. The customer was repaid only after he complained to the firm after Buckley’s termination. (FINRA Case #2012034225401)
This broker was previously registered with FINRA at the following brokerage firms as listed on FINRA's BrokerCheck:
AMERIPRISE FINANCIAL SERVICES, INC.
CRD# 6363
PUNTA GORDA, FL
08/1998 - 09/2012
IDS LIFE INSURANCE COMPANY
CRD# 6321
MINNEAPOLIS, MN
08/1998 - 07/2006
This ends the information from FINRA’s website.
If you have experienced a financial loss due to your stockbroker or financial advisor’s recommendations, call Soreide Law Group for a free consultation with an attorney at: 888-760-6552.
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