Tag Archives: Thomas Joseph Buck

Merrill Lynch Sued By Customer For Excessive Trading

November 07, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Thomas Joseph Buck, of Indianapolis, Indiana, a former Merrill Lynch, Pierce, Fenner & Smith Incorporated stockbroker who has been barred by Financial Industry Regulatory Authority (FINRA) in all capacities, is the subject of five customer initiated investment related written complaints that have been settled on November 23, 2016, for a total of $465,000.00 in damages, […]

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