Proceeding Number 2007009981201

Hearing Panel Decision in Department of Enforcement v. Robert D. Tucker

May 10, 2010

Respondent violated Conduct Rule 2110 and IM-1000-1 by willfully failing to disclose, on initial Forms U4, a federal tax lien, three judgments, and two bankruptcies.  For this violation, the Respondent was barred from associating with any member firm in any capacity.

 

This decision has been appealed.

View Decision (PDF 75 KB)