Brent Jason Greninger, of Weston, Florida, a stockbroker registered with Raymond James Associates Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $150,000.00 in compensatory damages based upon allegations that Greninger made unsuitable recommendations of “private investments” when Greninger was associated with…
William Louis Baumner IV (also known as Bill Baumner) of Boca Raton Florida a stockbroker formerly employed by Buckman Buckman Reid Inc. has been identified in a customer initiated investment related arbitration claim where the customer sought $67,000.00 in damages founded on accusations that the customer was provided with unsuitable investment advice pertaining to a…
Ron Jason Ison of New York New York a stockbroker employed by Buckman Buckman Reid Inc. has been stripped of his stockbroker license or investment adviser representative license founded on the stockbroker being expelled for obstructing a FINRA investigation. New Jersey Bureau of Securities Order No. 2017053698501 (Dec. 3, 2018). Financial Industry Regulatory Authority (FINRA)…
William Louis Baumner IV of Boca Raton Florida a stockbroker formerly registered with Buckman Buckman Reid Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $10,000.00 in damages based upon allegations that the customer was placed into an unsuitable private placement investment while Baumner was associated with the…
Buckman Buckman Reid Inc. a securities broker dealer headquartered in Little Silver New Jersey has been censured by Financial Industry Regulatory Authority (FINRA) based upon findings that (1) Buckman Buckman Reid Inc. neglected to create and implement a supervision system and written supervisory procedures regarding the suitability of trades recommended by stockbrokers of the firm…
Ron Jason Ison of Little Silver New Jersey a stockbroker formerly registered with Buckman Buckman and Reid Inc. was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of Ison effecting unsuitable and unauthorized trades in customer…
Christopher Joseph Marnelego, of New York, New York, a stockbroker formerly registered with Buckman, Buckman and Reid, Inc., is the subject of a customer initiated investment related arbitration claim, which settled on January 15, 2016, for $37,500.00 in damages resting on allegations that Marnelego made unsuitable investment recommendations to the customer as well as misrepresentations…
Glenn Robert King, of Shrewsbury, New Jersey, a stockbroker formerly registered with Buckman, Buckman & Reid, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a National Adjudicatory Council Decision containing findings that King made unauthorized and excessive trades in a customer’s account. In the…
Dwarka Persaud, of Little Silver, New Jersey, has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he violated a heightened supervision agreement imposed by New Jersey Bureau of Securities by effecting, inter alia, unauthorized trades in customer accounts. Letter of…
Wallace Martin Giakas, of Little Silver, New Jersey, a stockbroker formerly registered with Buckman, Buckman & Reid, Inc., has been named in a customer initiated investment related civil action on August 3, 2015, in which the customer requested more than $15,000.00 in damages based upon allegations that Giakas induced the customer’s private placement investment based…
Honetta C. Kao, of Brooklyn, New York, a stockbroker formerly registered with Meyers Associates, L.P., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Kao failed to respond to FINRA’s request for Kao’s information. Case No. 2014039091901 (Nov. 9, 2015). Prior to Kao’s…
Dwarka Persaud, of Little Silver, New Jersey, a stockbroker formerly registered with Buckman, Buckman & Reid, Inc., is subject to a customer initiated investment related arbitration claim from October 10, 2016, in which the customer requested $40,000.00 in damages based upon allegations that Persaud effected an investment strategy that was unsuitable, and charged the customer…
Glenn Robert King, of Shrewsbury, New Jersey, a stockbroker formerly with Royal Alliance, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he fraudulently omitted and misrepresented material facts to investors, prompted excessive and unsuitable transactions, and committed unauthorized discretionary trading. Department of…
Glen Robert King of Shrewsbury, NJ, a registered representative with Buckman, Buckman & Reid, Inc., was charged by the Department of Enforcement of Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that King made fraudulent misrepresentations to customers, engaged in excessive and unsuitable trading, and exercised discretion in accounts of customers without written authority….