Tagged with "buckman buckman & reid"

FINRA Fines New Jersey-Based Broker-Dealer, Buckman, Buckman & Reid For Failing to Reasonably Supervise Two Former Financial Advisors

Posted on May 1st, 2019 at 4:28 PM
FINRA Fines New Jersey-Based Broker-Dealer, Buckman, Buckman & Reid For Failing to Reasonably Supervise Two Former Financial Advisors

FINRA has ordered New Jersey-based broker-dealer Buckman, Buckman & Reid Inc. (BBR) to pay approximately $205,000 in restitution to seven customers for failing to reasonably supervise two former financial advisors who recommended excessive and unsuitable trades to their customers.

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LATEST NEWS AND ARTICLES

December 9, 2022
FINRA Reminds Firm To Monitor For “Red Flags” In Options Trading Applications

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December 8, 2022
FINRA Orders Morgan Stanley to Pay $697,897 Over Failure to Supervise Nine Advisors

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December 7, 2022
FINRA Bars Former Northwestern Mutual Advisor For Allegedly Cheating on CFP Exam

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