另一个前摩根士丹利经纪人被Finra禁止

金融业监管机构禁止另一个前摩根士丹利（MS）经纪人。John Halsey Buck III consented to the industry bar after he did not provide the information and documents that the self-regulatory organization asked for related to its probe into his alleged involvement inbob体育电竞 。巴克（Buck）在该行业拥有超过50年的经验，他今年早些时候被经纪公司释放。

摩根士丹利reportedly fired him in the wake of disclosure-related issues, including those involving private investments that did not involve the broker-dealer. According toInvestmentNews, the allegations against Buck have to do with “selling away.” This is a practice that happens when a stockbroker, financial adviser, or a registered representative solicits the sale of or sells securities that his or her brokerage firm does not offer or hold. Broker-dealers usually have a list of approved products that its brokers are allowed to sell to firm clients.

Buck had been with the industry since 1965. Previous to working with Morgan Stanley, he was a registered broker with瑞银Financial Services (UBS), Wachovia Securities, Prudential Securities Incorporated, Loeb Partners, and Hornblower, Weeks, Noyes & Trask.

Other Barred Morgan Stanley Brokers

巴克不是唯一的摩根士丹利brokerto be barred by FINRA this month. The SRO also barred Kevin Smith, who refused to testify in front of FINRA about allegations related to a structured product’s trade in a family member’s trust. Smith is accused of making the trade without consulting the client. The brokerage firm fired him in 2016. Smith also was a former UBS Financial Services broker.

Another barredex-Morgan Stanley broker, Aaron Parthemer, made headlines again a few months ago after two more professional athletes stepped forward filing arbitration claims against the broker-dealer for allegedlyfailing to supervisehim. Ex-Miami Heat player Udonis Haslem and former Detroit Lions and Miami Dolphins player Louis Delmas are asking for $413K and $180K, respectively.

Parthemer在该行业工作了20多年，并且是一家经验丰富的经纪人，他于2001年至2009年在佛罗里达州与摩根士丹利（Morgan Stanley）在一起。从2011年到2015年，他与富国银行（WFC）在一起。经纪人三年前解雇了他。Parthemer也是2012年至2015年的NFL球员协会注册财务顾问。

Parthemer因指控他向客户推荐他们投资俱乐部比赛而受到抨击，这是迈阿密的一家夜总会，现在不再正在运作。迄今为止，富国银行顾问和摩根士丹利（Morgan Stanley）至少支付了320万美元的赔偿金，这是Parthemer的前职业运动员客户提出的索赔。

摩根士丹利经纪人欺诈主张

If you are an investor that lost money while Buck was your broker, or if you sustained losses while investing with another Morgan Stanley broker, and you suspect that broker fraud may have been a factor, please contactShepherd Smith Edwards and Kantas, LLPtoday. Ourbroker fraud lawyers代表美国各地的投资者。我们已经成功地与行业中最大的华尔街公司抗衡，以帮助投资者收回他们的资金。我们的投资者欺诈客户包括散户投资者，高净值个人投资者和机构投资者。

Broker with more than 50 years experience booted for not cooperating with Finra probe, InvestmentNews, October 12, 2018

The FINRA Letter of Acceptance, Waiver, and Consent in the Buck Case（PDF）