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Zamansky LLC Investigates Merrill Lynch Financial Advisor Thomas J. Buck In Carmel, Indiana

November 1, 2017 Active Cases & Investigations

The law firm is investigating legal claims for customers of former Merrill Lynch financial advisor Thomas J. Buck (“Buck”), of Carmel, Indiana.  Buck led the Buck Team at Merrill Lynch and was one of the office’s highest producers, with over 3,000 accounts and $1.3 billion in assets under management.

On October 31, 2017, Buck pled guilty to SEC charges that from 2012 to 2015, he overcharged his clients approximately $2.5 million in commissions.  Although there were less expensive, fee-based products, Buck traded in commission accounts to maximize his clients’ fees.  Buck also agreed to pay $2.2 million in penalties and interest, and was fired by Merrill Lynch and barred from the securities industry by FINRA.

The law firm is investigating churning cases for former Buck and Merrill Lynch customers which are subject to arbitration before FINRA.

If you are a former Buck or Merrill Lynch client, you may wish to have your situation or brokerage account reviewed to determine if you have a claim.  Please contact Jake Zamansky by telephone at (212) 742-1414 or by email at jake@zamansky.com.

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