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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.