John Buck— Alleged Unapproved Private Securities Transactions

John Halsey Buck III Reportedly Dismissed from Morgan Stanley Due to Concerns Re: Timing & Completeness of Disclosures to the Firm

John Buck was allegedly discharged on January 29, 2018 from Morgan Stanley due to concerns about the timing and completeness of disclosures to the firm, including disclosures regarding involvement in private investments outside the firm, according to FINRA Reports under review by investor rights attorney Alan Rosca.

Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to John Buck’s alleged unapproved private securities transactions. Investors who believe they may have lost money in activity related to John Buck’s alleged unapproved private securities transactions are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Morgan Stanley filed a Form U5 on February 28, 2018 stating that Buck had been discharged, FINRA notes, and Buck is not currently associated with a FINRA-regulated broker-dealer, but FINRA retains jurisdiction over him pursuant to FINRA Rules, FINRA states.

John Buck Barred by FINRA; Buck Allegedly Failed to Provide FINRA with Requested Documents & Information in Connection with its Investigation

John Buck allegedly failed to provide FINRA with requested documents and information in connection with its investigation concerning his potential involvement in certain alleged unapproved private securities transactions, FINRA states.

Buck, by allegedly failing to respond, violated FINRA Laws, and thus has been barred by FINRA, FINRA notes.

John Buck has worked an astounding 53 years in the securities industry since January 1965 and since then has been associated with seven FINRA-regulated broker-dealers, FINRA states.
John Buck was registered at Morgan Stanley in Boston from August 13, 2004 until February 28, 2018, and also worked at UBS Financial in Boston from August 13, 2004 until May 20, 2010, and Wachovia Securities, LLC from July 1, 2003 to August 17, 2004 in Saint Louis, FINRA states.

The only regulatory disclosure on his record was the selling-away allegation by Morgan Stanley that led to his dismissal, according to his FINRA BrokerCheck Report.

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating John Buck’s alleged unapproved private securities transactions. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of John Buck’s alleged unapproved private securities transactions may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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