Gregory Tucker

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Tucker (Tucker), previously associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Tucker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,500,000.00 on July 07, 2020.

Client asserts statutory and common-law claims for alleged unsuitable recommendations to purchase and hold bonds during the period from 2009 to 2017. Many of the bonds were investment-grade when purchased, and beginning in 2011, shortly after the bonds were purchased, Client transferred them away from the Firm to an unrelated, outside brokerage firm. Client asserts $1.5 MM in damages, despite net proft at Firm of over $400K.

The investment fraud lawyers of Gana Weinstein LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Gregory Tucker. According to BrokerCheck, Tucker has a multitude of customer complaints mostly pertaining to unsuitability and misrepresentation.

In November 2016, a customer complaint was filed against Tucker alleging that the broker mishandled his client’s account during his employment at D.A Davidson & Co. Tucker allegedly made unsuitable and heavily concentrated recommendations. In addition, Tucker allegedly engaged in excessive trading in regards to the client’s account. The case is pending.

Another currently pending case against Tucker was filed in February 2016 for allegedly misrepresenting an investment product to his client. During the period of March 2009 through January 2016, Tucker allegedly made material and false representations of the municipal bonds that his client then bought. Additionally, the customer claims that Tucker allegedly made recommendations that were unsuitable and lacked diversity, which resulted in substantial portfolio loss for the client.

Articles Tagged with Gregory Tucker

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