FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2011029206503 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029206503 To: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Buckman, Buckman & Reid (CRD No. 2340), and H. John Buckman (CRD No. 1090909), Respondents Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Buckman, Buckman & Reid (the "Firm" or "BBR") and H. John Buckman ("Buckman") (collectively "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Buckman, Buckman & Reid
H. John Buckman
Action Date 01/26/2015