Buckman, Buckman & Reid Inc.

06/04/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160493435-02 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Buckman, Buckman & Reid, Inc., Respondent Broker-Dealer CRD No. 23407 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Buckman, Buckman & Reid, Inc., ("BKRT" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2016049343502data-portal.finra.orgfinra.org

05/13/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072680701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Buckman, Buckman & Reid, Inc. (Respondent) Member Firm CRD No. 23407 Pursuant to FINRA Rule 9216, Respondent Buckman, Buckman & Reid, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021072680701data-portal.finra.orgfinra.org

04/25/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058266301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE:Buckman, Buckman & Reid, Inc., Respondent CRD No. 23407 Harry John ("Chip") Buckman, Jr., Respondent CRD No. 2202467 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure,

Reference 2018058266301finra.orgdata-portal.finra.org

02/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20140399425-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Buckman, Buckman & Reid, Inc., Respondent Broker/Dealer CRD No. 23407 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Buckman, Buckman & Reid, Inc. ("Respondent" or "the firm") submits this Letter of Acceptance, Waiver and Consent (''AWC') for the purpose of proposing a settlement of the alleged rule

Reference 2014039940501data-portal.finra.orgfinra.org

08/28/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053083201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Buckman, Buckman & Reid, Inc., Respondent Member Firm CRD No. 23407 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Buckman, Buckman & Reid, Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017053083201data-portal.finra.orgfinra.org

09/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20120309836-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Buckman, Buckman & Reid, Inc., Respondent Broker-Dealer CRD No. 23407 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Buckman, Buckman & Reid, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2012030983601data-portal.finra.orgfinra.org

11/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130375913-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Buckman, Buckman & Reid, Inc., Respondent Broker-Dealer CRD No. 23407 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Buckman, Buckman & Reid, Inc. (the ''fiim" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013037591301data-portal.finra.orgfinra.org