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
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
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