Soreide Law Group is conveniently based in Pompano Beach, Florida, and we represent our clients nationwide before FINRA. We obtained the following information regarding a Florida broker on FINRA’s website from the April, 2017 Disciplinary Report:
William Bruckner (CRD #5754875, West Palm Beach, Florida)
was fined $5,000 and suspended by FINRA for 15 business days for allegedly mismarking 20 order tickets as unsolicited when, in fact, the FINRA findings allege that he had solicited the underlying trades to his clients.
FINRA’s findings stated that Buckner’s firm’s policy required him to obtain their written authorization prior to soliciting the securities that he recommended to his clients, because the securities were not covered by the firm’s research division.
According to FINRA, Bruckner failed to obtain authorization prior to soliciting the trades.
FINRA’s findings also stated that Bruckner caused the firm’s books and records to be inaccurate by marking the order tickets as unsolicited.
The suspension was in effect from March 6, 2017, through March 24, 2017. (FINRA Case #2016050195201)
According to FINRA’s BrokerCheck, William Bruckner has been in the securities industry for 7 years and was listed with 3 firms. He is currently listed with the following firm since 5/17/2016:
WOODSTOCK FINANCIAL GROUP, INC.
11879 Sanbourn Court
West Palm Beach, FL 33412
And according to FINRA’s BrokerCheck, had an “employment separation after allegations” from:
07/02/2012 - 06/01/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. - PALM BEACH, FL
Soreide Law Group has handled many claims with similar facts in the past for investors. We have been representing investors successfully for over 10 years. FINRA offers a dispute resolution forum that is nationwide and we can represent investors in all 50 states on a contingency fee basis.
If you are or were a client of William Bruckner, currently with WOODSTOCK FINANCIAL GROUP of West Palm Beach, and you experienced losses due to his recommendations or actions, contact the Florida-based Soreide Law Group and speak, at no cost, to a lawyer regarding the possible recovery of your investment losses at: 888-760-6552.
