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Home > Blog > Regulators Bar Adviser Tom Buck From Securities Industry

Regulators Bar Adviser Tom Buck From Securities Industry

On July 24th, FINRA permanently barred former Merrill Lynch broker Tom Buck from the securities industry. FINRA alleged that Buck engaged in unauthorized trading, improperly used commission based accounts when fixed fee accounts were more appropriate, and misled clients about fees they were paying in their accounts. Our firm is continuing to assist investors in their potential claims against Merrill Lynch and Tom Buck for all these matters.

Checkout the below links for more on this story:

FINRA Consent Agreement Buck

http://www.ibj.com/articles/54198-regulators-bar-adviser-tom-buck-from-securities-industry

http://www.investmentnews.com/article/20150728/FREE/150729893/fired-by-merrill-now-barred-by-finra-thomas-buck-stops-here

 

 

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