GEOFF DAVID BUXTON at PIPER SANDLER & CO. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 6519166
GEOFF DAVID BUXTON is an Investment Adviser, associated with PIPER SANDLER & CO. located at Chicago, IL. GEOFF BUXTON’s Central Registration Depository (CRD) number is 6519166 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for GEOFF BUXTON

    • Event Date: 10/18/2013
    • Disclosure Type: Criminal
    • Resolution: Final Disposition
    • Criminal Charges :: Charges: ASSAULT IN THE SECOND DEGREE
    • Disposition: Dismissed
    • Amended Charges: ASSAULT IN THE FIFTH DEGREE
    • Amended Charge Type: MISDEMEANOR
    • Amended Charge Disposition: Convicted Charges: OBSTRUCTING LEGAL PROCESS
    • Disposition: Dismissed Charges: FLEEING A PEACE OFFICER BY MEANS OTHER THAN A MOTOR VEHICLE
    • Disposition: Dismissed
    • Broker Comment: THE CHARGES STEMMED FROM AN INCIDENT DURING HOMECOMING WEEKEND IN MY UNDERGRADUATE WHERE I WAS INVOLVED IN AN ALTERCATION AND FORCED TO DEFEND MYSELF. THE CHARGES WERE REDUCED TO MISDEMEANOR 5TH DEGREE ASSAULT WITH THE PUNISHMENT BEING MINIMAL, DUE TO THE FACTS OF THE CASE.


Should I file a FINRA complaint against brokers like GEOFF DAVID BUXTON?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by GEOFF DAVID BUXTON’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About GEOFF DAVID BUXTON

What is GEOFF BUXTON's Central Registration Depository (CRD) Number?

6519166

Which firm is GEOFF DAVID BUXTON associated with?

PIPER SANDLER & CO.

Where is GEOFF BUXTON located?

444 W Lake St, Chicago, IL, 60606

Where can I find more details about GEOFF BUXTON's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/665 to read a detailed report for PIPER SANDLER & CO.

Are there any disclosures, allegations or complaints filed against GEOFF DAVID BUXTON?

Yes. There are disclosures, allegations, or complaints filed against GEOFF DAVID BUXTON. Click here to view all details

Where can I download a detailed FINRA report for GEOFF BUXTON?

Click here to download a detailed FINRA report for GEOFF BUXTON

Is it safe to do business with GEOFF DAVID BUXTON?

We’re not sure. Please research GEOFF BUXTON’s disclosures, allegations and complaints before taking a decision


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