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.
