William Bruckner Was Terminated Following Allegations of Misconduct

William Bruckner

Public records published by the Financial Industry Regulatory Authority (FINRA) on February 27, 2017 indicate that Florida-based Woodstock Financial Group broker/adviser William Bruckner has been sanctioned by FINRA. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bruckner (CRD# 5754875).

William Bruckner has spent seven years in the securities industry and has been registered with Woodstock Financial Group in Woodstock, Florida since May 2016. Previous registrations include Merrill Lynch in Palm Beach, Florida (2012-2016) and Sanford C. Bernstein & Company in West Palm Beach, Florida (2010-2012). He is a registered broker and investment adviser with eight US states and territories: California, the District of Columbia, Florida, Illinois, New Jersey, New York, Pennsylvania, and Texas.

According to his BrokerCheck report, William Bruckner has been sanctioned by FINRA and was discharged from Merrill Lynch.

In February 2017 FINRA sanctioned William Bruckner following allegations he “mismarked 20 order tickets as unsolicited when, in fact, he had solicited the underlying trades to his customers.” FINRA’s findings stated: “the policy of Buckner’s member firm required him to obtain the firm’s written authorization prior to soliciting the securities that he recommended to the customers, because the securities were not covered by the firm’s research division. Bruckner failed to obtain such authorization prior to soliciting the trades. The findings also stated that Bruckner caused the firm’s books and records to be inaccurate by marking the order tickets as unsolicited.” He was issued a 15-day suspension and a fine of $5,000.

In May 2016 William Bruckner was terminated Merrill Lynch following allegations he solicited no-opinion securities, mis-marked trades, and failed “to be forthcoming in discussions with the Firm.”

If you have lost money investing with William Bruckner, call Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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