Broker Investigation: John Halsey Buck III

John Halsey Buck III (CRD#: 34383) is a previously registered broker and financial advisor. Brokercheck indicates that Mr. Buck has 53 years of experience in the securities industry. Most recently, he was employed at Morgan Stanley (2010 to 2018) and UBS Financial Services (2004 to 2010). At both broker-dealers, he was based in Boston, Massachusetts.

On October 11th, 2018, John Halsey Buck III was barred by FINRA for his failure to respond to the agency’s request for materials in connection to its investigation that Mr. Buck engaged in improper private securities transactions.

Barred Broker: John Halsey Buck III

In January of 2018, John Halsey Buck III was terminated from his position at Morgan Stanley following allegations that he participated in unapproved, undisclosed private securities transactions. In addition, Morgan Stanley indicated that it believed that Mr. Buck provided false information on the firm’s internal disclosure statements.

Under FINRA Rule 3280, registered representatives must disclose private securities transactions to their member firm and get approval before participating in the trades.

FINRA launched its own investigation into the alleged misconduct by former Morgan Stanley broker  John Halsey Buck III. In violation of FINRA Rule 8210, he declined to cooperate with this inquiry. Without admitting or denying wrongdoing in relation to this case, Mr. Buck consented to FINRA’s proposed penalties, which included an indefinite bar from the securities industry.

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