Gregory Roy Tucker, of Des Moines, Iowa, a stockbroker currently registered with D.A. Davidson & Co., has been identified in a customer initiated investment related arbitration claim on October 17, 2016, where the customer’s claim was based on allegations that Tucker effected trades in the customer’s account on an excessive and unsuitable basis, which resulted in over-concentration of the customer’s investment portfolio. The customer also alleged that Tucker negligently handled the customer’s investment accounts between 2009 and 2016.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Tucker has been identified in three customer initiated investment related disputes pertaining to allegations of misconduct. Specifically, on February 4, 2016, a customer filed an investment related arbitration claim concerning Tucker’s activities, seeking $5,000.00 in damages supported by accusations that Tucker made unsuitable investment recommendations to the customer, failed to diversify the customer’s holdings and made misrepresentations to the customer about municipal debt investments effected in the customer’s accounts from 2009 to 2016.
Then, a customer initiated investment related complaint regarding Tucker’s activities was filed on May 24, 2016, where the customer requested $226,845.38 in damages founded upon allegations that Tucker made misrepresentations by claiming that AgriBank, FCB Subordinated Notes were not callable prior to a July 2019 maturity date; the notes were apparently called on July 15, 2016. Further, a customer initiated investment related complaint involving Tucker’s conduct was filed on July 11, 2016, in which the customer sought $5,000.00 in damages based upon accusations of misrepresentation.
Guiliano Law Group
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