JOHN WILLIAM BUCKINGHAM is currently employed as a Broker and/or Investment Adviser at PRESIDENTIAL BROKERAGE, INC. located at 5445 DTC PARKWAY, SUITE 1100, GREENWOOD VILLAGE, CO, 80111.
JOHN WILLIAM BUCKINGHAM has worked at PRESIDENTIAL BROKERAGE, INC. since March 13, 2009
JOHN WILLIAM BUCKINGHAM has 3 Disclosure Event(s).
Date: June 13, 2016 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABLE RECOMMENDATIONS BETWEEN JUNE 2013 AND JUNE 2016. Damage Amount Requested: $18,297.00 Settlement Amount: $15,000.00 Broker Comment: without admitting or denying any wrongdoing the firm and Mr. Buckingham made a business decision to settle this matter rather than continue to dispute the allegations which would cost an unknown additional amount of time, effort and money.
Date: April 01, 2011 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT IN REFERENCE TO A VARIABLE ANNUITY MR. BUCKINGHAM MADE ERRORS IN PROCESSING AN ORDER WITH RESPECT TO AN AIG SUN AMERICA ANNUITY WHERE HE ALLEGEDLY SELECTED THE INCORRECT ANNUITY. ADDITIONALLY, THE CLAIMANT ALLEGES THAT SHE NEVER RECEIVED DOCUMENTATION REGARDING THE ERROR, WHICH INCLUDED PLACING THE ACCOUNT IN THE NAME OF WEDBUSH, AS TRUSTEE. Damage Amount Requested: $34,383.00 Settlement Amount: $23,625.00 Broker Comment: WHILE THE FIRM AGREED WITH MR. BUCKINGHAM THAT THE CLAIMS HAD NO MERIT, IT WAS DETERMINED THAT THE AMOUNT OF THE SETTLEMENT WOULD BE LESS THAN THE COST OF A SUCCESSFUL DEFENSE. MR. BUCKINGHAM WAS NOT CONSULTED DURING THE FINAL SETTLEMENT PROCESS AND WAS NOT ASKED TO CONTRIBUTE TO THE SETTLEMENT.
Date: April 27, 2010 Category: Financial Type: Bankruptcy Disposition: Discharged
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for JOHN WILLIAM BUCKINGHAM, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More