Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2017 indicate that former Texas-based Brazos Securities broker/adviser Joe Buckner has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Buckner (CRD# 2187957).
Joe Buckner has spent 21 years in the securities industry and was most recently registered with Brazos Securities in Dallas, Texas (1996-2015). Previous registrations include Maplewood Investment Advisors in Dallas, Texas; La Jolla Capital Corporation in San Diego, California; and Merrill Lynch in New York, New York. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint, and has been named in a pending regulatory investigation.
In 2015 FINRA sanctioned Joe Buckner following allegations he failed to respond to FINRA request for information. He was barred from acting as a broker or otherwise associating with firms that sell securities to the public.
In 2015 a party of customers alleged Joe Buckner, while employed at Brazos Securities, did not pay back money which they invested in a business he owned. The customers are seeking $25,000 in damages in the pending complaint.
In 2015 he was terminated from Brazos Securities following allegations involving unreported private securities transactions, refusal to provide assistance to an inquiry by the Texas State Securities Board, and an oral complaint made by a customer concerning outside business.
In 2015 he was named in an investigation by the Texas State Securities Board in connection to allegations that customers invested funds in his business which they were not able to recover.
If you have lost money investing with Joe Buckner, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.