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Home > Blog > Category Archives: Tom Buck

Category Archives: Tom Buck

Tom Buck Update

Former heavy-hitter stockbroker Buck charged with fraud, the IBJ has the latest on these charges. Click this link: https://www.ibj.com/articles/66070-former-heavy-hitter-stockbroker-buck-charged-with-fraud

Tom Buck Update

The latest on broker Tom Buck, is a settlement has been made costing $4.1 Million for Merrill Lynch. For the all the details visit http://www.ibj.com/articles/56290-buck-settlements-cost-merrill-lynch-41m?utm_source=this-week-in-ibj&utm_medium=newsletter&utm_campaign=2015-12-19

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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