Proceeding Number 2009016764901

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

January 11, 2013

Respondent is barred for (1) improperly approving a transfer of customer funds, in violation of FINRA Rule 2010; (2) converting those customer funds, in violation of NASD Rule 2330 and FINRA Rule 2010; and (3) improperly commingling those customer funds with his funds, in violation of FINRA Rules 2330 and 2010.

 

This decision has been appealed.

View Decision (PDF 36 KB)