Anna Marie Buckhalter (CRD #5038640) Has a Judgment/Lien Disclosure on FINRA BrokerCheck

Anna Marie Buckhalter (CRD #5038640) is currently registered with Raymond James & Associates, Inc. We reviewed her BrokerCheck report on April 15, 2026. It reflects one judgment/lien disclosure. If you invested with Anna Buckhalter and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Judgment / Lien

Anna Marie Buckhalter’s FINRA BrokerCheck Report reflects one judgment/lien disclosure. A summary of the disclosure is below:

On February 6, 2026, Anna Marie Buckhalter disclosed a civil judgment/lien for $3,729.72. Anna Marie Buckhalter FINRA BrokerCheck states the holder is Synchrony Bank. The report lists the matter as outstanding. It identifies the court as the Collin County Clerks Office of Texas in Collin, Texas. The report also lists case number 2026000015255. It says she learned of the matter on March 24, 2026.

Rule Summary #1: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain a supervisory system that is reasonably designed to achieve compliance with securities laws and FINRA rules. When a broker’s record reflects a financial event, investors may ask whether the firm had systems in place to monitor and address issues that could affect customer protection.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires brokers and firms to observe high standards of commercial honor and just and equitable principles of trade. Financial disclosures can raise questions about judgment, disclosure, and professional conduct.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on her FINRA BrokerCheck report, Anna Buckhalter:

Is currently registered with Raymond James & Associates, Inc.

Has passed the Securities Industry Essentials (SIE) exam. Anna Buckhalter has passed Series 3 and Series 7. She has also passed Series 66, Series 9, and Series 10.

Was previously registered with Wells Fargo Clearing Services, LLC.

Kurta Law Can Help

If you have worked with Anna Buckhalter and you have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. A securities attorney can help you assess potential causes of action and determine whether your losses may be recoverable through FINRA arbitration or other avenues. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Security Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.