2024081242701 Barry L. Buchholz CRD 1583582 AWC lp.pdf
Between September and October 2023, while associated with LPL, Buchholz effected 11
unauthorized transactions totaling more than $590,000 in the accounts of four customers,
the adult daughters (the Customers) of a deceased senior customer. The transactions
generated more than $16,000 in commissions. By this conduct, Buchholz effected
unauthorized transactions in violation of FINRA Rule 2010 and is suspended for one
month, fined $7,500, and ordered to disgorge $7,480 plus interest.