Joseph R Butler

12/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Joseph R. Butler (CRD No. 244735), Respondent. DISCIPLINARY PROCEEDING No. 2012032950101 FIRST AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From about November 2009, Respondent Joseph R. Butler (“Butler”). while associated with member firm Woodbury Financial Services, Inc. ("WFS" or the "Firm"), knew that LW, his seventy-nine year old customer,

06/02/2016: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 77984 / June 2, 2016 Admin. Proc. File No. 3-16912 In the Matter of the Application of JOSEPH R. BUTLER For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Conduct Inconsistent with Just and Equitable Principles of Trade Former registered representative of member firm engaged in conduct inconsistent with just and

08/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Joseph R. Butler (CRD No. 2447535), Respondent. DISCIPLINARY PROCEEDING No. 2012032950101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From about November 2009, Respondent Joseph R. Butler (“Butler”), while associated with member firm Woodbury Financial Services, Inc. (“WFS” or the “Firm”), knew that LW, his seventy-nine year old customer, suffered from progressive

07/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. Joseph R. Butler (CRD No. 2447535), Respondent. Disciplinary Proceeding No. 2012032950101 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION July 8, 2014 Respondent is barred from associating with any FINRA member firm in any capacity for converting funds from a customer and submitting a false annuity beneficiary change request, in violation of FINRA Rule 2010. Respondent also is ordered to pay

09/25/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Joseph R. Butler Brandywine, MD, Respondent. DECISION Complaint No. 2012032950101 Dated: September 25, 2015 Registered representative converted customer funds and submitted a false annuity beneficiary change request. Held, findings and sanctions affirmed. Appearances For the Complainant: Jeffrey Pariser, Esq., Department of Enforcement, Financial Industry

Reference 2012032950101data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org