JAMES BRADLEY TUCKER

JAMES BRADLEY TUCKER is currently employed as a Broker and/or Investment Adviser at ALLSTATE FINANCIAL SERVICES, LLC located at 711 QUAKER LN, WEST WARWICK, RI, 02893-2125.

JAMES BRADLEY TUCKER has worked at ALLSTATE FINANCIAL SERVICES, LLC since May 26, 2000

Disclosure History

JAMES BRADLEY TUCKER has 1 Disclosure Event(s).

Date: March 30, 1994
Category: Employment Separation After Allegations
Firm Name: JOHN HANCOCK
Termination Type: Discharged
Allegations: NON GENUINE SIGNATURE ON WHOLE LIFE POLICY OF OWNER NOT THE INSURED. OWNER TOLD ME TO GO AHEAD WITH TRANSACTION - IT WAS A SIGNATURE OF CONVENIENCE.
Broker Comment: AFTER TERMINATION I HAD A COMPLIANCE CONFERENCE WITH THE NASD IN BOSTN IN 1994. NO FORMAL ACTION WAS TAKENCUSTOMER COMPLAINT LEAD TO JOHN HANCOCK TERMINATING MY BROKER DEALER AGREEMENT BUT THE COMPLAINT WAS NOT SERIES 6 ON NASD RELATED. INFRACTION OCCURED IN 1991 THE CUSTOMER NEW WHAT HAPPENED BUT DIDN'T FILE COMPLAINT UNTIL 3-94.

More Information

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