JAMES J.F. BUCHANAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES J.F. BUCHANAN, CRD No. 2452897, Respondent. Disciplinary Proceeding No. 2008013001701 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. FINRA staff commenced an investigation of Respondent James J.F. Buchanan after receiving notification that Buchanan had been indicted in Arizona on multiple counts of felony theft stemming from his alleged mishandling of investment
11/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES J.F. BUCHANAN (CRD No. 2452897), Respondent. Disciplinary Proceeding No. 2008013001701 Hearing Officer - MC DEFAULT DECISION November 23, 2009 Respondent is barred from associating with any FINRA member firm in any capacity for: (i) misusing customer funds, in violation of Conduct Rules 2110 and 2330; (ii) misusing non-customer funds, in violation of Conduct Rule 2110; (iii) selling away from
Reference 2008013001701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2452897 |
Other names1
Also known as1
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