ROBERT WILLIAMS TUCKER

ROBERT WILLIAMS TUCKER is currently employed as a Broker and/or Investment Adviser at STEPHENS located at 111 CENTER STREET, LITTLE ROCK, AR, 72201.

ROBERT WILLIAMS TUCKER has worked at STEPHENS since July 07, 2008

Disclosure History

ROBERT WILLIAMS TUCKER has 1 Disclosure Event(s).

Date: April 26, 1989
Category: Customer Dispute
Allegations: CLAIMENTS ALLEGES FAILURE TO SUERVISE. LOSSESOF $400,375.00 71. WHAT IS THE PRODUCT? COMMODITIES
Damage Amount Requested: $400,375.00
Settlement Amount: $212,500.00
Broker Comment: A.G. EDWARDS & SONS AGREE TO PAY CLAIMENTS$212,500.00. ROBERT TUCKER IS NOT CONTRIBUTING TO THESETTLEMENT.

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 ROBERT WILLIAMS TUCKER, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.