John Halsey Buck (John Buck) – Financial Advisor John Buck Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
John Halsey Buck was licensed with Morgan Stanley from 2010 to 2018. FINRA reports that John Buck was discharged from Morgan Stanley on January 29, 2018. Morgan Stanley reported to FINRA of allegations about the timing and completeness of disclosures to the Firm regarding involvement in private investments outside the firm.
According to John Buck’s BrokerCheck Report:
John Buck was barred from the securities and investment banking industry on October 11, 2018. FINRA reports that John Buck consented to the sanction and to the entry of findings that John Buck failed to provide FINRA with requested documents and information in connection with its investigation concerning his potential involvement in certain unapproved private securities transactions.
Goodman & Nekvasil, P.A. May Recover Investor Losses
If you lost any money on investments with John Buck, you may be able to recover your losses from Morgan Stanley. This is because Morgan Stanley had a duty to supervise John Buck.
If you lost money on investments with John Buck and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Morgan Stanley concerning John Buck’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with John Buck and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 1/20/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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