Jeffrey Tsz Ching Buk (CRD #4154307) Has Customer Dispute Disclosures on FINRA BrokerCheck

Jeffrey Tsz Ching Buk (CRD #4154307) is a broker with customer dispute disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on June 16, 2026. It reflects six customer dispute disclosures. If you invested with Jeffrey Buk and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Jeffrey Buk’s FINRA BrokerCheck Report reflects six customer dispute disclosures. A summary of the two most recent disputes is below:

On April 27, 2026, a customer alleged that Jeffrey Buk purchased securities without the customer’s consent six years earlier. The customer claimed market losses and contingent deferred sales charges when the securities were sold. Jeffrey Buk’s FINRA BrokerCheck report lists the product as a mutual fund. The report says the claim is pending. The firm could not determine in good faith that damages are less than $5,000.

On September 8, 2021, clients alleged that Jeffrey Buk sold them a low-rated mutual fund. They also alleged he misled them that the investment would grow 6% to 7% each year. Jeffrey Buk’s FINRA BrokerCheck report lists the product as a mutual fund. The customers sought $64,522.08 in damages. Wells Fargo Advisors, LLC denied the claim on September 30, 2021.

Four additional customer dispute disclosures remain in Jeffrey Buk’s FINRA BrokerCheck report. This section summarizes only two disclosures from this category.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires high standards of commercial honor. It also requires just and equitable principles of trade. Unauthorized trading concerns may raise questions under this rule.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis for a recommendation. The broker should match the investment to the customer’s profile. That profile includes risk tolerance, time horizon, and liquidity needs.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Jeffrey Buk:

Is currently registered with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors.

Has passed the Securities Industry Essentials (SIE) exam. Jeffrey Buk has passed Series 7 and Series 63.

Was previously registered with firms that include Wells Fargo Investments, LLC and WaMu Investments, Inc.

Kurta Law Can Help

If you have worked with Jeffrey Buk and have concerns, Kurta Law may be able to help. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unauthorized Trading | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors. It has helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts. They can also explain possible next steps.