Nex Systems
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Barry L. Buchholz

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/18/2025: Between September and October 2023, while associated with LPL, Buchholz effected 11 unauthorized transactions totaling more than $590,000 in the accounts of four customers, the adult daughters (the Customers) of a deceased senior customer. The transactions generated more than $16,000 in commissions. By this conduct, Buchholz effected unauthorized transactions in violation of FINRA Rule 2010 and is suspended for one month, fined $7,500, and ordered to disgorge $7,480 plus interest.

    Reference 2024081242701data-portal.finra.orgfinra.org

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