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.