ALLAN MATTISON TUCKER is currently employed as a Broker and/or Investment Adviser at STEPHENS located at 111 CENTER STREET, LITTLE ROCK, AR, 72201.
ALLAN MATTISON TUCKER has worked at STEPHENS since January 01, 1997
Disclosure History
ALLAN MATTISON TUCKER has 3 Disclosure Event(s).
Date: August 05, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGED REPRESENTATIVE SOLD SECURITIES WITHOUT CHECKING WITH HER, DISCUSSING IT WITH HER, EXPLAINING WHY HE WANTED TO SELL THE SECURITIES, WHAT HE WANTED TO REPLACE THEM WITH OR NOTIFYING HER OF ANY TAX OBLIGATION SHE WOULD HAVE. Damage Amount Requested: $406,430.29 Broker Comment: THE CALCULATED CLAIM AMOUNT IS GREATLY OVERSTATED. FURTHERMORE, IT WAS THE CUSTOMER'S EXPRESSED DESIRE TO SELL THE SECURITIES IN THE ACCOUNT BEFORE THE ACCOUNT WAS MOVED TO THIS FIRM. THE SALES DID NOT OCCUR AND THE SECURITIES WERE LIQUIDATED SHORTLY AFTER THEY WERE RECEIVED INTO THE ACCOUNT. EXCEPT FOR THE INITIAL SALES AND PURCHASES THERE WAS ALMOST NO ACTIVITY IN THE ACCOUNT. THE ACCOUNT EXPERIENCED MARKET LOSSES.
Date: August 30, 2000 Category: Customer Dispute Allegations: ON MARCH 23, 1998 GRAHAM FIELD HEALTH (GFI) MADE A SURPRISE ANNOUNCEMENT REGARDING LARGE WRITE-OFFS RELATING TO PRIOR ACQUISITIONS. THE PRICE OF THE STOCK DROPPED PRECIPITOUSLY. THIS INFORMATION WAS RELATED TO CUSTOMER BY MR. TUCKER AND FROM MARCH 30, 1998 THROUGH JUNE 18, 1998 CUSTOMER PURCHASED SHARES OF GFI. IT IS ALLEGED THAT MR. TUCKER DID NOT DISCLOSE TO CUSTOMER HIS PERSONAL HOLDINGS IN GFI OR THAT THERE WAS A PENDING CLASS ACTION LAWSUIT. MR. TUCKER IN FACT OWNED NO SHARES OF GFI. THESE LAWSUITS WERE ANNOUNCED IMMEDIATELY THOUGH VARIOUS MAJOR BUSINESS NEWS SERVICES AND WERE COMMON KNOWLEDGE IN THE MARKETPLACE, WHICH INFORMATION WAS ALREADY REFLECTED IN THE MARKET PRICE FOR THE STOCK THAT CUSTOMER PAID IN ALL OF HIS TRANSACTIONS. Damage Amount Requested: $230,126.60
Date: August 09, 1989 Category: Regulatory
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ALLAN MATTISON TUCKER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.