Greg Roy Tucker & D.A. Davidson & CO

The investor rights attorneys at Compass Law Group PS Inc. are currently investigating the activities of stockbroker Greg Roy Tucker (CRD# 501274 also known as Gregory Tucker or Gregory Roy Tucker) of Des Moines, Iowa. Mr. Tucker is employed as a stockbroker at D.A. Davidson & CO (and was employed at the predecessor firm Ruan Financial). Our attorneys are currently available to assist those who invested with Greg Roy Tucker or D.A. Davidson and can be reached at 206-728-1110.

 

FINRA reports that previously:

Sanction Details

TUCKER WAS NOT SUSPENDED, ENJOINED OR BARRED, BUT AGREED THAT FOR A PERIOD OF 30 DAYS HE WOULD NOT ASSOCIATE WITH ANY STATE MEMBER BANK OR BANK HOLDING COMPANY OR NONBANK SUBSIDIARY THEREOF SUBJECT TO THE JURISDICTION OF THE BOARD OF GOVERNORS OR ANY MUNICIPAL BROKER OR DEALER

Broker Comment

GREGORY R. TUCKER ENTERED INTO A PROHIBITION AND CENSURE AGREEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM, DATED DECEMBER 10,1984. THE AGREEMENT STATES THAT HE ENTERED INTO THE AGREEMENT “SOLELY FOR THE PURPOSE OF SETTLEMENT OF ANY DISPUTE” BETWEEN THE BOARD OF GOVERNORS AND HIMSELF WITHOUT PROTRACTED HEARINGS OR TESTIMONY” AND STATES THAT THE AGREEMENT DOES NOT CONSTITUTE “AN ADMISSION OF ANY ALLEGATION MADE OR IMPLIED BY THE BOARD OF GOVERNORS”. THE AGREEMENT PROVIDES THAT (1) FOR A PERIOD OF FIVE YEARS, TUCKER WILL NOT ASSOCIATE WITH BANKERS TRUST COMPANY, EXCEPT FOR CERTAIN BANKING RELATIONSHIPS, WITHOUT APPROVAL OF THE BOARD OF GOVERNORS; (2) TUCKER, FOR 30 DAYS WOULD NOT ASSOCIATE WITH ANY BANK OR MUNICIPAL SECURITIES BROKER OR DEALER; AND (3) TUCKER WAS “CENSURED”. TUCKER RESIGNED FROM BANKERS TRUST COMPANY AT THE REQUEST OF THE BANK. THE BANK’S REQUEST WAS MADE AT THE INSTANCE OF THE FEDERAL RESERVE BANK OF CHICAGO. THE AGREEMENT FURTHER DISCLOSED THAT FOR A PERIOD OF FIVE YEARS, TUCKER AGREES NOT TO BORROW FUNDS FROM RUAN FINANCIAL CORPORATION, THE PARENT BANK HOLDING COMPANY OF THE BANK; OR BECOME ASSOCIATED WITH ANY BROKER/DEALER MUNICIPAL SECURITIES BROKER OR MUNICIPAL SECURITIES DEALER AS A SHAREHOLDER, DIRECTOR, OFFICER, EMPLOYEE OR AGENT THAT (I) HAS THE SAME OR A SUBSTANTIALLY SIMILAR NAME TO THE BANK, OR (II) OCCUPIES PREMISES WHICH ARE ALSO OCCUPIED BY OR WHICH HAVE ENTRANCE TO OR EGREES FROM PREMISES WHICH ARE OCCUPIED BY THE BANK OR ANY OF ITS BRANCHES.

Compass Law is currently investigating Tucker and D.A. Davidson & CO’s sale of Puerto Rican municipal bonds as well as other high yield bonds often referred to as “junk bonds.” If you invested Greg Roy Tucker or D.A. Davidson & CO and suffered losses, please call our office today at 206-728-1110 as we are seeking further information. If you desire a free, no obligation consultation regarding potential claims against a brokerage firm call our office today at 206-728-1110.