{"id":2885,"date":"2015-10-26T00:00:00","date_gmt":"2015-10-26T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/indiana-based-broker-thomas-joseph-buck-permanently-barred-by-finra\/"},"modified":"2015-10-26T00:00:00","modified_gmt":"2015-10-26T04:00:00","slug":"indiana-based-broker-thomas-joseph-buck-permanently-barred-by-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/indiana-based-broker-thomas-joseph-buck-permanently-barred-by-finra\/","title":{"rendered":"Indiana-based Broker Thomas Joseph Buck Permanently Barred by FINRA"},"content":{"rendered":"<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"wp-image-2135 alignnone\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Indiana-based-Broker-Thomas-Joseph-Buck-Permanently-Barred-by-FINRA-300x200.jpg\" alt=\"Indiana-based Broker Thomas Joseph Buck Permanently Barred by FINRA on silverlaw.com\" width=\"387\" height=\"258\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Indiana-based-Broker-Thomas-Joseph-Buck-Permanently-Barred-by-FINRA-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Indiana-based-Broker-Thomas-Joseph-Buck-Permanently-Barred-by-FINRA-1024x683.jpg 1024w\" sizes=\"auto, (max-width: 387px) 100vw, 387px\" \/><\/p>\n<h2>Allegations include misrepresentation and other misconduct<\/h2>\n<p>Thomas Joseph Buck\u2019s 33-year career in the securities industry, beginning with Merrill Lynch, Pierce, Fenner &amp; Smith, Inc (Merrill Lynch) in December 1981 is now over. According to the Financial Industry Regulatory Authority (FINRA) Department of Enforcement <a href=\"http:\/\/disciplinaryactions.finra.org\/Search\/ViewDocument\/63260\" target=\"_blank\">document filed on July 24, 2015<\/a>, Buck allegedly engaged in misrepresentations and other misconduct while handling client accounts.<\/p>\n<p>According to the filing, beginning in at least 2009, Buck engaged in unethical and improper business practices that increased his status as a top-producing broker. It is alleged that Buck placed customer assets in commission-based accounts that resulted in higher commission-earnings on his part, even though Buck knew customers would have paid less to maintain fee-based accounts. In addition, Buck allegedly not only misled customers in the relative costs associated with these accounts, he exercised discretion in customer accounts without written or oral authorization and made unauthorized trades in certain customer accounts.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/indiana-based-broker-thomas-joseph-buck-permanently-barred-by-finra\/\"  title=\"Continue Reading Indiana-based Broker Thomas Joseph Buck Permanently Barred by FINRA\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Allegations include misrepresentation and other misconduct Thomas Joseph Buck\u2019s 33-year career in the securities industry, beginning with Merrill Lynch, Pierce, Fenner &amp; Smith, Inc (Merrill Lynch) in December 1981 is now over. According to the Financial Industry Regulatory Authority (FINRA) Department of Enforcement document filed on July 24, 2015, Buck allegedly engaged in misrepresentations and [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,602],"tags":[440],"class_list":["post-2885","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-class-action","tag-buck-permanently-barred-by-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Indiana-based Broker Thomas Joseph Buck Permanently Barred by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; October 26, 2015<\/title>\n<meta name=\"description\" content=\"Check out the new article on Indiana-based Broker Thomas Joseph Buck Permanently Barred by FINRA on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/indiana-based-broker-thomas-joseph-buck-permanently-barred-by-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Indiana-based Broker Thomas Joseph Buck Permanently Barred by FINRA &#8212; 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