Tagged with "Morgan Stanley"

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TESTIMONIALS

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Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

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A Look at Broker William Keen Butcher’s BrokerCheck

According to BrokerCheck, Broker William Keen Butcher (CRD# 2098675) is currently registered at Independent Financial Group, LLC in Kemah, Texas and was previously registered at International Asset Investment Management, LLC and International Investment Advisory, LLC in Orlando, Florida. Butcher has or has had three customer disputes on his BrokerCheck.

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According to BrokerCheck, broker Harry John Buckman (CRD #2202467), currently registered with Buckman Advisory Group, LLC, Mayhill Agency, LLC, and Buckman, Buckman, and Reid, Inc. in Little Silver, New Jersey, has or has had two regulatory events and two customer disputes.

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According to BrokerCheck, broker David Sosa (CRD # 2447013) is registered with Cetera Investment Advisers and Cetera Investment Servies in Lake Mary, Florida. Sosa has or has had two criminal disputes and seven customer disputes.