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.
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