Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 10, 2016 indicate that Florida-based Woodstock Financial Group broker/adviser William Bruckner has been terminated from a former employer. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bruckner (CRD# 5754875).
William Bruckner has spent six 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 has passed two securities examinations: Series 7 (General Securities Representative Examination) and Series 66 (Uniform Combined State Law Examination). 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 was terminated from his position at Merrill Lynch.
In May 2016 William Bruckner was terminated from his position at Merrill Lynch following allegations of “Conduct including solicitation of no opinion securities, mismarking trades as unsolicited and failure to be forthcoming in discussions with the Firm.” He left the following comment on his BrokerCheck report: “Four of my former customers were interested in purchasing certain securities that I had brought to their attention. Because my broker-dealer did not provide research coverage of these securities, the purchase could not be solicited, so I marked the order tickets ‘unsolicited,’ Rather than doing that, I should have obtained permission to have those tickets marked ‘solicited.’”
If you or someone you know has complaints regarding William Bruckner, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.