Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 12, 2017 indicate that former Florida-based Morgan Stanley broker/adviser William Tucker Jr. has received a denied customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tucker (CRD# 1793101).
William Tucker has spent 25 years in the securities industry and was most recently registered with Morgan Stanley in St. Petersburg, Florida (2009-2017). Previous registrations include Morgan Stanley & Company in St. Petersburg, Florida (2007-2009) and Morgan Stanley DW in St. Petersburg, Florida (1991-2007). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 11, 1992; Series 31 (Futures Managed Funds Examination), which he obtained on September 13, 2003; and Series 7 (General Securities Representative Examination), which he obtained on December 19, 1991. He is currently not registered with any state, firm or self-regulatory organization.
According to his BrokerCheck report, William Tucker Jr. has received one customer complaint that was denied.
In October 2017 a customer alleged William Tucker, while employed at Morgan Stanley Smith Barney, executed unauthorized trades in connection to investments in common and preferred stock from November 2013 through December 2016. The customer sought $125,000 in damages in the complaint, which was denied.
For reference, FINRA rules and federal securities law forbid financial professionals like William Tucker from executing transactions without a customer’s authorization. There are certain exceptions, including discretionary accounts and, in some circumstances, margin accounts. Investment professionals and broker-dealer firms who participated in unauthorized trading may be subject to disciplinary action by FINRA, the Securities and Exchange Commission or state regulatory authorities.
If you have complaints regarding William Tucker Jr., call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.