PAUL FRANCIS BUCKLEY (CRD #3214962) Has a Judgment/Lien Disclosure on FINRA BrokerCheck

PAUL FRANCIS BUCKLEY (CRD #3214962) is a broker with a judgment/lien disclosure on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 11, 2026. It reflects one judgment/lien disclosure. If you invested with Paul Buckley and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Judgment / Lien

Paul Buckley’s FINRA BrokerCheck Report reflects one judgment/lien disclosure. A summary of the disclosure is below:

On February 3, 2026, Paul Buckley’s FINRA BrokerCheck reported a $13,055 civil judgment/lien. BrokerCheck lists Robert Gianchiglia as the holder and says the matter remains outstanding. Paul Buckley’s FINRA BrokerCheck says the court was the American Arbitration Association in Johnston, Rhode Island. The listed case number is 01-24-0008-5249.

Rule Summary #1: FINRA Rule 9554 (Failure to Comply with an Arbitration Award or Related Settlement)

FINRA Rule 9554 addresses failures to comply with an arbitration award or a related settlement. A disclosed unpaid arbitration-related obligation can raise questions about whether a broker satisfied that duty on time.

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. Financial disclosures can matter to investors because they may bear on judgment, reliability, and compliance culture.

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 his FINRA BrokerCheck report, Paul Buckley:

Is currently registered with USA Financial Securities LLC.

Has passed Series 7, Series 6, Series 63, and Series 65.

Was previously registered with firms that include Ameritas Investment Company, LLC and Ameritas Advisory Services, LLC.

Kurta Law Can Help

If you have worked with Paul Buckley and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. 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.