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Former Merrill Lynch Broker Thomas J. Buck Faces Several Investor Complaints

Thomas Buck, formerly a broker with Merrill Lynch and now an investment broker at RBC Wealth Management, is facing several complaints of improprieties from investors. 

Thomas Joseph Buck (CRD# 1024868), a veteran money manager with Merrill Lynch for nearly 34 years, faces five complaints from investors filed between March 23 and May 4 of this year. The complaints accuse Buck of various improprieties while he was working at Merrill Lynch dating back to 2006.

Buck was the subject of a high-profile termination when, on March 4 of this year, Merrill Lynch announced that it would be terminating Buck’s employment due to allegations of providing inaccurate information to firm management and mismarking trade tickets as unsolicited, among other things. After his termination from Merrill Lynch, Buck was hired by RBC’s Indianapolis office.

Among the various investor complaints facing Buck are allegations of unauthorized trading, misrepresentation, excessive trading, and unsuitable investment recommendations. According to a recent article in the Indianapolis Business Journal, Buck was one of Merrill’s top brokers. At his peak, he managed $1.5 billion in client assets and roughly 500 clients.

Meyer Wilson is currently investigating these misconduct claims involving Thomas Buck. If you invested with Buck and lost money, we invite you to contact us today for a free case evaluation.

The information contained in The Firm’s posts on its blog, fraud alerts, investigations or elsewhere on the site is based upon information obtained from other sources including, but not limited to, news outlets and federal, state, and regulatory agency filings. All suspects and subjects of postings herein are presumed innocent until proven guilty in a court of law or administrative action and any and all crimes are alleged until a court or regulatory agency finds otherwise .

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