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John Buck: FINRA Bars Boston, Massachusetts Financial Advisor

A disciplinary action taken by the Financial Industry Regulatory Authority against former Boston, Massachusetts broker and investment advisor John Buck (CRD# 34383) barred him after finding he failed to cooperate with an investigation into allegations he was potentially involved in private securities transactions. A former representative of Morgan Stanley, Buck was barred from acting as a broker or otherwise associating with a broker-dealer firm.

According to a Letter of Acceptance, Waiver and Consent (No. 2018057629701) dated October 2018, John Buck was associated with Morgan Stanley from May 2010 until January 28, when, according to a February disclosure by the firm, he was discharged over “concerns about the timing and completeness of disclosures to the firm, including disclosures regarding involvement in private investments.” As part of an investigation into his possible participation in such investments, FINRA sent Buck a request on August 31, 2018 to produce documents and information by September 14, 2018. This request, according to FINRA, included language notifying Buck that a failure to comply with the request may result in disciplinary action and sanctions including “a bar from the securities industry.” A few days after the request’s deadline, on September 17, 2018, Buck notified FINRA via counsel that he was in receipt of its request but would not comply with it “at any time.” FINRA found this refusal to constitute violations of FINRA Rules 8210 and 2010. As a result of the foregoing alleged conduct, John Buck was barred from associating with any FINRA member firm in any capacity.

John Buck is currently not registered as a broker or investment adviser. His employment history includes Morgan Stanley in Boston, Massachusetts; UBS Financial Services in Boston, Massachusetts; Wachovia Securities in St. Louis, Missouri; Prudential Securities in New York, New York; and Loeb Partners. He currently holds zero state licenses and has passed three securities industry qualification examinations.

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