Category: Broker Investigations

Montgomery Alabama Broker Michael James Barranco Fined and Suspended by FINRA

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Michael James Barranco (CRD #4825738) of Montgomery, Alabama consented to an Acceptance, Waiver and Consent (“AWC”) with FINRA in which he was assessed a fine of $20,000 and suspended from association with any FINRA member in any capacity for two years. As part of the FINRA AWC, Michael Barranco consented to the sanctions and to the entry of FINRA’s findings that he participated in private securities transactions with three different issuers outside of his member firm without providing proper notice to the firm. Barranco’s suspension is in effect from August 1, 2016, through July 31, 2018. (See FINRA Case # 2015048273301 ).

Michael James Barranco entered the securities industry in 2004 when he became registered as a General Securities Representative. He was registered with LPL Financial LLC (“LPL”) from April 2007 until December 17, 2015. FINRA alleged that between 2010 and 2015, while registered with LPL, Barranco participated in almost 40 private securities transactions with three different issuers without providing proper notice to his firm.

FINRA alleged that in total, 27 people, most of whom were firm customers, invested over $3.5 million through Barranco. FINRA alleged that Barranco participated in the solicitation of or otherwise facilitated investments by firm customers and others in 13% Senior Notes issued by TMG and that in total, between November 2010 and February 2011, Barranco participated in 35 transactions through which 27 individuals, most of whom were firm customers, invested at least $2,087,000 in the TMG notes. FINRA alleged that certain of the customers held their TMG notes in LPL accounts.

FINRA further alleged that in 2014, the founders of TMG purchased a distressed real estate development (“IBH”) and issued 12% Senior Notes (“IBH Notes”). FINRA alleged that Barranco recommended the IBH Notes to two of his customers and they invested a total of $750,000. FINRA also alleged that Barranco then participated in two additional transactions through which the customers converted their IBH Notes into notes in IBH’s parent company.

FINRA alleged that Barranco violated NASD Rule 3040 and FINRA Rule 2010. As a result, Barranco was suspended from association with any FINRA member in any capacity for a period of two years and fined $20,000. Also, according to FINRA’s Brokercheck LPL terminated Barranco for soliciting clients to invest in private securities transactions in violation of firm policy.

Furthermore, according to FINRA’s Broker Check, Michael James Barranco was registered with the securities industry for twelve (12) years, and was registered with the following firm(s):

LPL Financial LLC
CRD# 6413
Montgomery, AL
04/2007 – 12/2015

Raymond James Financial Services, Inc.
CRD# 6694
Montgomery, AL
11/2004 – 04/2007

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

Oklahoma City Broker Joseph Bess Fined and Suspended by FINRA

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Joseph L. Bess II (CRD #4441939) of Oklahoma City, Oklahoma submitted an Acceptance, Waiver and Consent (“AWC”) with FINRA in which he was assessed a fine of $5,000 and a suspension from association with any FINRA member firm in all capacities for a period of two months. FINRA alleged that from January 2013 through January 2014, Bess marked order tickets for 139 transactions in the accounts of 21 customers as “unsolicited” when, in fact, Bess had solicited the transactions.

FINRA Rule 4511 requires FINRA regulated broker-dealers to make and preserve books and records as required under the FINRA rules, the Exchange Act and the applicable Exchange Act rules. Inherent in these requirements is the requirement that the records made are accurate. FINRA has stated that a violation of FINRA Rule 4511 is inconsistent with high standards of commercial honor and just and equitable principles of trade and, therefore, also constitutes a violation of FINRA Rule 2010.

FINRA alleged that from January 2013 through January 2014, Bess marked a total of 139 order tickets for the purchase of Exchange Traded Funds (“ETFs”) in the accounts of 21 customers as “unsolicited” when, in fact Bess had solicited each order by bringing the relevant ETF transaction to the attention of each customer. FINRA alleged that the Firm maintained an approved list of securities that could be solicited, and the Firm’s electronic order-taking system would reject any trades in unapproved securities that were marked as solicited. FINRA alleged that because none of the ETF’s that were the subject of the 139 mismarked transactions were on the approved list, Bess marked the transactions as “unsolicited” in order to have the trades accepted by the Firm’s electronic system.

As a result of the foregoing conduct, FINRA suspended Bess from association with any FINRA member firm in all capacities for a period of two months and assessed a $5,000 fine against Bess.

According to FINRA’s Broker Check, Joseph L. Bess II was registered with the securities industry for eleven (11) years, and was registered with the following firm(s):

Waddell & Reed
CRD# 866
Edmond, OK
04/2014 – 07/2016

J.P. Morgan Securities, LLC
CRD# 79
Oklahoma City, OK
10/2012 – 04/2014

Chase Investment Services Corp.
CRD# 25574
Oklahoma City, OK
04/2009 – 10/2012

Wachovia Securities, LLC
CRD# 19616
Edmond, OK
04/2007 – 04/2009

UBS Financial Services, Inc.
CRD# 8174
Edmond, OK
11/2005 – 05/2007

A.G. Edwards & Sons, Inc.
CRD# 4
St. Louis, MO
11/2001 – 05/2002

Furthermore, according to FINRA Brokercheck, Bess voluntarily resigned from J.P. Morgan Securities, LLC while under internal review for allegedly soliciting unsuitable annuity products and for soliciting closed end funds which were not on the firms approved solicitation list and marking those trades as unsolicited.

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

Maryland Broker Joseph Butler Barred by FINRA and Ordered to Pay Restitution

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Joseph Ronald Butler (CRD #2447535) of Brandywine, Maryland was barred from association with any FINRA member in any capacity and ordered to pay $170,408.18, plus interest, in restitution to his former customer. The SEC affirmed the findings and sanctions following appeal of the Order imposed by FINRA. FINRA alleged that Butler converted an elderly customer’s funds and named himself the beneficiary of her annuity by submitting a falsified beneficiary change request form falsely representing that he was her son.

FINRA further stated that Butler took advantage of his elderly customer, who was suffering from declining mental health and who relied on him to help manage her finances. FINRA alleged that Butler, aware of her diminished capacity, withdrew funds from the customer’s bank account by writing and cashing checks payable to himself and to “cash”, made wire transfers from the customer’s account to his own, and used the customer’s accounts to pay his personal tax liabilities. FINRA further alleged that Butler also took the customer to his attorney, where she ultimately executed papers naming Butler her personal representative and the primary beneficiary under her will, and giving him power of attorney. (FINRA Case #201203 2950101).

As a result of the foregoing Joseph Butler was barred from association with any FINRA member in any capacity and ordered to pay $170,408.18, plus interest, in restitution to his former customer.

According to FINRA’s Broker Check, Joseph Butler was registered with the securities industry for nineteen (19) years, and was registered with the following firm(s):

Innovation Partners LLC
CRD# 146344
Charlotte, NC
10/2012 – 10/2015

Woodbury Financial Services, Inc.
CRD# 421
Clinton, MD
06/1997 – 08/2012

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

J.P. Morgan Securities Broker Jonathan Casiano Barred by FINRA

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Jonathan J. Casiano (CRD# 6607584) was barred from association with any FINRA member in any capacity. FINRA alleged that while registered with J.P. Morgan Securities, LLC, Casiano issued, or caused to be issued, debit cards linked to the accounts of five bank customers. FINRA further alleged that between June 2, 2016 and June 28, 2016, Casiano directed family members and a friend to use the debit cards to make unauthorized withdrawals of funds from three of the bank customers’ accounts totaling at least $14,400. FINRA alleged that Casiano used the misappropriated bank customer funds to make personal expenditures.

FINRA Rule 2010 provides that “[a] member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.” By misappropriating funds from bank customers, FINRA alleged that Casiano violated FINRA Rule 2010.

As a result of the foregoing Jonathan Casiano was barred from association with any FINRA member in any capacity.

According to FINRA’s Broker Check, Jonathan Casiano was registered with the securities industry for less than one year, and was registered with the following firm(s):

J.P. Morgan Securities, LLC
CRD# 79
Arlington, TX
03/2016 – 07/2016

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

Miami Florida Broker Joseph N. Barnes Fined and Suspended by FINRA

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According to FINRA’s Disciplinary and Other FINRA Actions publication, Joseph N. Barnes, Sr. of Miami Florida (CRD # 5603198) is suspended from associating with any member firm in any capacity for six months for failing to timely disclose his bankruptcy petitions on his Form U4, in willful violation of FINRA By-Laws and FINRA Rules. Barnes was also fined $5,000.

According to FINRA’s Broker Check, Joseph N. Barnes, Sr. was registered with the securities industry for six (6) years, and was registered with the following firm(s):

IFS Securities
CRD# 40375
Miami Lakes, FL
10/2013 – 7/2014

Blaylock Robert Van, LLC
CRD# 145317
New York, NY
02/2010 – 09/2013

Grisby & Associtate, Inc.
CRD# 13364
New York, NY
01/2010 – 02/2010

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

FINRA Bars Brokers George Johnson and Joseph Mahalick and Suspends Broker Christopher Wynne

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The Financial Industry Regulatory Authority (FINRA) recently announced that it has barred broker George Johnson (CRD # 2245802) from the securities industry for engaging in a manipulative trading scheme to artificially inflate the market price and trading volume for the common stock of IceWEB, Inc. (OTCBB: IWEB). FINRA also sanctioned Christopher Wynne (CRD # 7654), Johnson’s supervisor, suspending him for two years in all capacities, barring him in a principal capacity, and fining him $25,000. Joseph Mahalick (CRD # 5563167), another broker who worked with Johnson and Wynne, was suspended for six months and fined $20,000 for falsifying firm records and has been barred from the securities industry in a separate action. Johnson, Wynne and Mahalick all worked for Meyers Associates L.P. in that firm’s Chicago branch office during the time period of the misconduct.

FINRA found that Johnson manipulated the market for IWEB by recommending that certain of his customers buy at increasingly higher and artificially inflated prices while also recommending his other customers sell their shares, frequently matching trades between the customers. FINRA found that among Johnson’s motives for manipulating the stock was the fact that he wanted to obtain business from the issuer for which he would anticipate receiving compensation in connection with a future private offering. Johnson coordinated a campaign with a stock promoter to attempt to increase the stock’s share price to a level that would allow for the exercise of certain warrants.

Brad Bennett, FINRA’s Executive Vice President and Chief of Enforcement, said, “Any broker engaging in manipulative activity poses a threat to market integrity and has no place in the securities industry. The branch office manager, who was the first line of defense in supervising George Johnson’s activities, completely failed to supervise his transactions to ensure compliance with securities laws and FINRA rules.” FINRA also found that Johnson and Wynne sent customers sales materials that omitted information concerning material conflicts of interest and material risks concerning IWEB’s business, and contained misleading, exaggerated and unwarranted information. Moreover, Johnson disclosed confidential information to potential purchasers concerning another offering.

In addition to the IWEB scheme, FINRA found that Johnson committed fraud by recommending that certain of his customers purchase shares of another penny stock without disclosing to them that he was liquidating his own personal positions of the security from his own brokerage accounts. Furthermore, FINRA’s investigation found that to cover up Johnson’s violations of state securities registration requirements, Johnson, Mahalick and Wynne agreed to the practice of entering false information on more than 100 order memoranda, indicating that Wynne or Mahalick was responsible for the account or transactions, instead of Johnson.

George Johnson was registered with the securities industry for twenty three (23) years, and was registered with the following firm(s):

Newport Coast Securities, Inc.
CRD # 16944
Chicago, IL
4/2013 – 2/2016

Meyers Associates L.P.
CRD # 34171
Chicago, IL
11/2011 – 5/2013

Anderson & Strudwick, Inc.
CRD # 48
Chicago, IL
7/2010-12/2011

Jesup & LaMont Securities Corp.
CRD # 39056
Chicago, IL
11/2009-7/2010

Garden State Securities, Inc.
CRD #10083
Chicago, IL
5/2005 – 11/2009

Stifel, Nicolaus & Co.
CRD #793
St. Louis, MO
3/2001-5/2005

Auerbach, Pollak & Richardson, Inc.
CRD # 29824
Stamford, CT
12/2000-3/2001

American Fronteer Financial Corp.
CRD # 1398
Denver, CO
10/1998 – 12/2000

H.J. Meyers & Co., Inc.
CRD# 15609
Rochester, NY
7/1992-10/1998

Christopher Wynne was registered with the securities industry for sixteen (16) years, and was registered with the following firm(s):

Newport Coast Securities, Inc.
CRD # 16944
Chicago, IL
4/2013-2/2016

Meyers Associates, L.P.
CRD # 34171
Chicago, IL
11/2011-5/2013

Anderson & Strudwick, Inc.
CRD 48
Chicago, IL
7/2010-12/2011

Jesup & LaMont Securities Corp.
CRD 39056
Chicago, IL
11/2009-7/2010

Garden State Securities, Inc.
CRD 10083
Chicago, IL
5/2005–11/2009

Stifel, Nicolaus & Co.
CRD 793
St. Louis, MO
3/2001-5/2005

Auerbach, Pollak & Richardson, Inc.
CRD 29824
Stamford, CT
12/2000-3/2001

American Fronteer Financial Corp.
CRD 1398
Denver, CO
11/1999-12/2000

Joseph Mahalick was registered with the securities industry for seven (7) years, and was registered with the following firm(s):

Newport Coast Securities, Inc.
CRD 16944
Chicago, IL
4/2013-10/2015

Meyers Associates, L.P.
CRD 34171
Chicago, IL
11/2011 – 5/2013

Anderson & Strudwick, Inc.
CRD 48
Chicago, IL
7/2010-12/2011

Jesup & LaMont Securities Corp.
CRD 39056
Chicago, IL
11/2009-7/2010

Garden State Securities, Inc.
CRD 10083
Chicago, IL
9/2008-11/2009

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

Futures Fraud and How To Avoid It

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What is Futures Trading?

Futures trading is a formal agreement between parties to buy or sell a particular commodity at a certain price and at a specific point in time. The trading can be done with a number of different commodities: precious metals (i.e., silver or gold), petroleum products (i.e., crude oil and unleaded gas), foreign currency (i.e., Euros, Yen, or Deutschmarks), and agricultural products (i.e., corn, soybeans, or cattle). This type of trading is considered high-risk trading and is best suited for experienced investors who are willing to potentially risk losing their entire investment. For this reason, it’s always best to confer with a knowledgeable investor and do research before agreeing to any trading activity and exposing yourself to potential futures fraud.

What is Futures Fraud?

Futures fraud occurs when the party selling the commodity (e.g., commodity broker, financial advisor, or other third-party) engages in illegal activities or practices while trading futures to investors. Illegal activities often involved in futures fraud can include trading without the investor’s consent, false statements about the risk or value of the investment, withholding information from the investor on purpose (nondisclosure), trading on the investor account for commissions without regard for the investor, and using the investor’s assets for anything other than the stated purpose.

What Are Some Warning Signs of Futures Fraud?

The following are some common warning signs of potential futures fraud:

  • Investment opportunities that seem too good to be true and get-rich-quick schemes.
  • Promises or guarantees of large profits.
  • Assurances of little or no financial risk in the venture.
  • Claims of currency being traded in an “Interbank Market,” which can refer to a collection of transactions between banks and investment banks.
  • Unsolicited telephone calls about investment opportunities.
  • Requests for urgent transfers of cash to a recipient.

 

Do You Need A Futures Fraud Lawyer?

If you believe that you are the victim of futures fraud, reach out to Hanley Law and we can examine your case and determine the best course of action. Hanley Law has the experience required to help you receive the best possible outcome.

Florida FINRA Litigation

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FINRA is the financial institution which regulates securities and the financial market. FINRA attorneys focus their practice on niche areas of FINRA law, whether they are defending brokers against regulatory inquiries, working on arbitration claims involving both investors & brokers, or defending investors against predatory broker practices. Most, if not every, brokerage firm requires potential investors to agree to resolve any disputes through FINRA arbitration. This is usually outlined in the opening documents, and states specifically that any issues will be settled through FINRA dispute resolution. Legal professionals with experience representing both investors & brokers before FINRA arbitrators should be familiar with all procedures, the forum & arbitrators. With their experience and knowledge, the first step to take if you have an issue with an investment should be to contact an accomplished FINRA attorney. They know how to properly prosecute cases on the behalf of both brokers and investors.

If you are an investor, they are many ways that you might feel you’ve been wronged by a broker or financial institution. You might believe that an investment made was unsuitable to your investment portfolio, or that an investment was made based on misleading or even fraudulent statements made by your broker. You might feel that your portfolio was over-concentrated in one industry or area, which resulted in your investments not being profitable or worthwhile. Even more concerning, you might feel your account was subjected to unauthorized trading, or churning (excessive trading to increase broker commissions). However you might feel that your investments have been mishandled, it’s important to consult with an attorney experienced in FINRA litigation to evaluate your case and determine any legal discourse necessary.

Most investment issues are resolved through securities arbitration, and as stated earlier, many brokers outline this requirement in their opening documents. Securities arbitration has become the most popular means of resolving broker-dealer conflicts in Florida and nationwide, largely due to a Supreme Court decision in 1987, and has long been used as it provides a quick and inexpensive alternative to arbitrating through the courts. After beginning the arbitration process, there are many different factors which need to be determined and decided upon by all involved parties, including arbitrator panel composition, hearing locations, and other details related to the arbitration process. While cases typically take between 1 year and 14 months to resolve, the process can be delayed or expedited depending on the complexity of the issue or the discovery timeline.

In Orlando and Florida, there are strict deadlines and regulations related to securities arbitration that can elude an inexperienced individual. If you are concerned about your investments it’s important to consult an experienced attorney who understands all FINRA litigation and arbitration requirements as they relate to Florida. Contact the Hanley Law to have your case evaluated for free and determine the legal validity and potential outcomes of your unique situation.

Aegis Capital Fined Nearly $1 Million over Sales of Unregistered Penny Stocks

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Aegis Capital Corp. (CRD No. 15007), a New York based broker dealer, was recently fined $950,000 by FINRA over allegations of improper sales of billions of shares of unregistered penny stocks and anti-laundering supervisory lapses. Furthermore, two former chief compliance officers were also fined and suspended in connection with this penny stock scheme.

According to FINRA’s Disciplinary and Other FINRA Actions publication, Aegis Capital Corp., along with representatives, Charles D. Smulevitz (CRD No. 5099387) and Kevin C. McKenna (CRD No. 1343870), allegedly liquidated nearly 3.9 billion shares of five unregistered penny stocks that seven customers deposited into their accounts at the firm. According to FINRA, most shares have to be registered with the SEC to ensure that potential investors are able to receive facts about the issuers. However, allegations stated that the shares were not registered with the SEC nor were the transactions exempt from registration.

As a result of the illicit sales conducted by Aegis Capital Corp. and its representatives, the customers allegedly generated over $24.5 million in proceeds and Aegis collected over $1.1 million in commissions, according to FINRA. (See FINRA Disciplinary Proceeding No. 2011026386001)

Charles D. Smulevitz has been registered with the following member firm(s):

UBS FINANCIAL SERVICES INC.
(CRD# 8174)
NEW YORK, NY
07/2012 – 04/2013

AEGIS CAPITAL CORP.
(CRD# 15007)
NEW YORK, NY
06/2009 – 07/2012

CASIMIR CAPITAL L.P.
(CRD# 105061)
NEW YORK, NY
04/2006 – 06/2009

Kevin C. McKenna has been registered with the following member firm(s):

MORGAN STANLEY SMITH BARNEY
(CRD# 149777)
NEW YORK, NY
06/2009 – 02/2010

MORGAN STANLEY & CO. INCORPORATED
(CRD# 8209)
NEW YORK, NY
04/2007 – 06/2009

MORGAN STANLEY DW INC.
(CRD# 7556)
NEW YORK, NY
12/2006 – 04/2007

VANDERBILT SECURITIES, LLC
(CRD# 5953)
MELVILLE, NY
01/2006 – 12/2006

METLIFE SECURITIES INC.
(CRD# 14251)
NEW YORK, NY
08/2005 – 01/2006

METROPOLITAN LIFE INSURANCE COMPANY
(CRD# 4095)
NEW YORK, NY
08/2005 – 01/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
(CRD# 7691)
NEW YORK, NY
10/1988 – 06/2004

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

Former Merrill Lynch Broker Thomas Buck Barred by FINRA Over Numerous Allegations of Misrepresentations and Misconduct

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According to FINRA’s Disciplinary and Other FINRA Actions publication, former top Merrill Lynch Broker Thomas Buck (CRD #1024868) of Indianapolis, Indiana, was barred by FINRA over numerous allegations of engaging in misrepresentations and other misconduct in the handling of customer accounts.

Allegations stated that Buck held customer assets in commission-based accounts rather than fee-based accounts in order to generate higher revenues. According to FINRA, registered representatives are required to assess the comparative costs to customers of commission-based or fee-based accounts, and discuss those alternatives with their customers, which Buck failed to do. FINRA alleges that Buck not only failed to fully assess the suitability of the fee structure for certain clients, but in fact decided to use commission-based accounts despite knowing that it would have been less expensive for those clients to maintain fee-based accounts. As such, Buck allegedly misled customers regarding the relative costs of commission-based or fee-based trading for their accounts, in order to keep them in higher-cost commission-based accounts.

Furthermore, allegations also stated that Buck exercised discretion and made unauthorized trades in customer accounts without prior authorization from the customers or his member firm, Merrill Lynch. Allegedly, Buck placed trades in customer accounts without obtaining his customers’ consent in advance or even after placing the trade, exercised discretionary authority without obtaining authorization, and placed trades which he assumed the customers would want without obtaining their authorization to do so. As a result of engaging in such conduct, Buck, according to FINRA, directly violated FINRA rules and his obligation to observe high standards of commercial honor and just and equitable principles of trade

According to a recently published InvestmentNews Article, Buck has been Merrill Lynch’s top broker in Indiana since at least 2009, overseeing approximately $1.3 billion in assets. Since that time, Buck has allegedly pursued unethical and improper business practices which generated increased revenues and commissions, which in turn enhanced his status as a top-producing broker. Buck has accrued nearly a dozen customer complaints for unsuitable investments and unauthorized trading.

According to FINRA’s Broker Check, Thomas Buck (CRD #1024868) has been permanently barred by FINRA from acting as a broker or otherwise associating with firms that sell securities to the public. Buck was registered in the securities industry for thirty three (33) years, and was registered with the following firm(s):

RBC CAPITAL MARKETS, LLC
CRD #31194
INDIANAPOLIS, IN
Registered with this firm since 04/2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD #7691
INDIANAPOLIS, IN
12/1981 – 04/2015

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.