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.
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