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Written by 4:07 pm Broker Investigations, FINRA SEC Sanctions

Ron Bucher Barred by FINRA 

Ron Bucher Barred by FINRA featured by top securities fraud attorneys, The White Law Group

Ron Bucher, Pinnacle Investments: Customers Allege Unauthorized Trading 

According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Pinnacle Investments broker Ron Bucher (CRD#: 1804910) from associating with any FINRA member at any time. 

According to FINRA, the securities regulator, Bucher was registered with FINRA as a General Securities Representative through an association with Pinnacle Investments, LLC (CRD No. 142910) from November 2019 until July 13, 2023.  

 The firm reportedly filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that the firm had discharged Bucher “due to violations of the firm’s policy on use of text messaging, creating incomplete books and records as a result of unapproved method of client communication and providing false information on a FINRA 8210 request related to the use of text messaging.” 

According to FINRA, Bucher reportedly refused to provide information in its investigation, leading to the bar. 

Bucher’s broker profile indicates that he has three customer disputes pending. Two customers allege that their “transactions were made without their knowledge. Client indicated this has been consistent throughout the relationship with the representative.” 

According to FINRA, Bucher was employed with 14 different firms in 34 years. His record indicates that he has had four employment separations, a financial disclosure, and six customer disputes in addition to the above regulatory action. 

Unauthorized Transactions 

 Unauthorized trading can be a serious violation of the broker’s duty to act in your best interests. It can also result in financial losses, as the trades made without your knowledge or approval may not align with your investment objectives or risk tolerance.    

FINRA Rule 3260 requires broker-dealers to obtain written authorization from their clients before executing any transactions in their accounts. The rule also requires broker-dealers to notify clients promptly of any trade executed in their account.    

FINRA BrokerCheck Report – Ron Bucher   

According to this FINRA BrokerCheck report, Ron Bucher (CRD#: 1804910) was affiliated with the following firms during his career in the securities industry: 

B, 08/23/2023 – 08/31/2023, SAN BLAS SECURITIES LLC (CRD#:290605), ATLANTA, GA
B, 11/04/2019 – 07/13/2023, PINNACLE INVESTMENTS, LLC (CRD#:142910), FORT MYERS, FL
B, 07/26/2018 – 10/22/2019, OPPENHEIMER & CO. INC. (CRD#:249), FORT MYERS, FL
B, 02/09/2007 – 07/26/2018, RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705), FT. MYERS, FL 

The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. 

You can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. 

Recovery of Investment Losses 

When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. 

Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees. 

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. Our firm has handled over 700 FINRA arbitration claims on behalf of investors. 

Free consultation 

If you have suffered losses investing with Ron Bucher and Pinnacle Investments, the securities attorneys at The White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.  


Tags: , , Last modified: March 22, 2024