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April 6, 2015
New York Broker Barred by FINRA for Allegedly Converting an Elderly Client Funds For His Own Personal Use

Robert Durant Tucker (CRD #1725356, New York, New York) was barred by FINRA and the SEC dismissed Tucker’s appeal of the NAC decision. This sanction was based on FINRA's findings that Tucker allegedly improperly approved the transfer of client funds to his personal checking account by falsifying a wire transfer form to give it the […]

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