Andrew Buckanavage

09/03/2025: Between November 2022 and April 2023, while registered with FINRA through Allen, Mooney & Barnes Brokerage Services, LLC (CRD No. 142619) (AMBBS), Respondent Andrew Buckanavage converted $177,962.80 when he charged personal, non-business expenses to his corporate credit card without his employer’s authorization and had his employer pay for those unauthorized personal expenses by submitting false expense reports that identified those charges as business expenses or by failing to notify his employer that the charges were for personal expenses. By converting such funds, Buckanavage violated FINRA Rule 2010. Additionally, Buckanavage failed to appear for on-the-record testimony that FINRA requested pursuant to FINRA Rule 8210 as part of its investigation into Buckanavage’s conversion. By failing to provide the requested testimony, Buckanavage violated FINRA Rules 8210 and 2010...

06/09/2025: The Department of Enforcement alleges: 1. Between November 2022 and April 2023, while registered with FINRA through Allen, Mooney & Barnes Brokerage Services, LLC (CRD No. 142619) (AMBBS), Respondent Andrew Buckanavage converted $177,962.80 when he charged personal, non-business expenses to his corporate credit card without his employer’s authorization and had his employer pay for those unauthorized personal expenses by submitting false expense reports that identified those charges as business expenses or by failing to notify his employer that the charges were for personal expenses. By converting such funds, Buckanavage violated FINRA Rule 2010. 2. Additionally, Buckanavage failed to appear for on-the-record testimony that FINRA requested pursuant to FINRA Rule 8210 as part of its investigation into Buckanavage’s conversion. By failing to provide the requested testimony, Buckanavage violated FINRA Rules 8210 and 2010...

Reference 2023079147402data-portal.finra.orgfinra.orgdata-portal.finra.org