Public records published by the Financial Industry Regulatory Authority (FINRA) on December 21, 2016 indicate that Iowa-based DA Davidson & Company broker Gregory Tucker has received several pending customer disputes. The attorneys at Fitapelli Kurta are interested in hearing from investors who have complaints regarding Mr. Tucker (CRD# 501274).
Gregory Tucker has spent 38 years in the securities industry and has been registered with DA Davidson & Company in Des Moines, Iowa since 2009. Previous registrations include Ruan Securities in Des Moines, Iowa and AF Stepp Investments. He is a registered broker with seventeen US states and territories: Arizona, California, Colorado, Florida, Illinois, Iowa, Kansas, Minnesota, Missouri, Montana, Nebraska, Nevada, New Mexico, South Dakota, Texas, Wisconsin, and Wyoming.
According to his BrokerCheck report, Gregory Tucker has received four pending complaints.
In November 2016 a customer alleged Gregory Tucker, while employed at DA Davidson & Company, mishandled her account, over-concentrated investments, made unsuitable recommendations, and executed excessive trades. The customer is seeking unspecified damages in the pending complaint.
In July 2016 a customer alleged Gregory Tucker, while employed at DA Davidson & Company, misrepresented material facts related to AgriBank, FCB Subordinated Notes. The customer is seeking unspecified damages in the pending complaint.
In May 2016 a customer alleged he, while employed at DA Davidson & Company, misrepresented certain AgriBank, FCB Subordinated Notes, allegedly representing them as non-callable prior to the maturity date. According to FINRA, “In early 2016, AgriBank announced that it will call the Notes on July 15, 2016 pursuant to an extraordinary regulatory event call provision in the Notes, and that at such time the bondholders will receive the par value, plus all accrued, but unpaid interest..” The customer is seeking more than $226,845 in damages in the pending complaint.
In February 2016 a customer alleged he, while employed at DA Davidson & Company, misrepresented and failed to disclose material facts in connection to investments in AgriBank, FCB Subordinated Notes. The customer is seeking unspecified damages in the pending complaint.
If you have lost money investing with Gregory Tucker, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.