Ronald Bucher Terminated by Pinnacle Investments

Ronald Bucher (CRD #: 1804910), a broker registered with San Blas Securities, has been terminated by Pinnacle Investments. This disclosure appears in his BrokerCheck record, accessed on August 29, 2023. For details concerning this broker’s alleged conduct, keep reading. 

Termination from Pinnacle Investments 

On July 6, 2023, Pinnacle Investments terminated Ronald Bucher following allegations that he violated company policy by communicating with a client through text and failing to disclose that violation on a FINRA 8210 form. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of company policy may violate this rule. 

FINRA Rule 8210

FINRA Rule 8210 requires members to provide documents, information, and testimony upon request by FINRA.

Previous Employment Disclosure 

There is another employment disclosure on his record, dated July 24, 2018. Ronald Bucher voluntarily resigned from Raymond James & Associates following allegations that he had executed a trade in a deceased client’s account. The firm also alleges that he resigned after several of his clients reported that he had not contacted them prior to trading in their non-discretionary accounts. 

FINRA Rule 3260

Unauthorized trading violates FINRA Rule 3260, which limits brokers to exercising their trading discretion in pre-approved discretionary accounts.

Background Information 

Ronald Bucher passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 

He has registered with the following firms: 

• San Blas Securities (CRD #: 290605) 
• Pinnacle Investments (CRD #: 142910) 
• Oppenheimer & Co. (CRD #: 249) 
• Raymond James & Associates (CRD #: 705) 
• McDonald Investments (CRD #: 566) 
• Stanford Group Company (CRD #: 39285) 
• A.G. Edwards & Sons (CRD #: 4) 
• Prudential Securities (CRD #: 7471) 
• Josephthal Lyon & Ross (CRD #: 3227)
• Josephthal & Co. (CRD #: 3144) 
• Hanifen, Imhoff Securities (CRD #: 10620) 
• Moore & Schley, Cameron & Co. (CRD #: 6917) 
• Dean Witter Reynolds (CRD #: 7556) 
• Glickenhaus & Co. – New Jersey (CRD #: 7302) 

Kurta Law Can Help

If you worked with Ronald Bucher and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.