Tag Archives: RBC Capital

Former Financial Advisor Barred by FINRA for Misrepresentations and Misconduct in Handling of Customer Accounts

Thomas J. Buck, a former Indiana based financial advisor associated with RBC Capital Markets, LLC, was barred from association with any FINRA-registered firm in all capacities after consenting to FINRA findings containing allegations Buck committed misconduct pertaining to commission-based accounts and unauthorized trading and exercise of discretion without oral or written authorization. FINRA Letter of […]

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