Without admitting or denying the findings, Tucker consented to the described sanctions and to the entry of findings that he engaged in radio broadcasts during which he made statements which were misleading and omitted material information, failed to provide a balanced presentation, and/or were exaggerated, unwarranted and promissory. The findings further stated that Tucker placed a print advertisement in a local newspaper that failed to provide a sound basis for certain claims. Finally, the findings stated that Tucker engaged in the public radio broadcasts and placed the print advertisement without a firm registered principal’s approval.

Prior to working at Brookstone Securities, Inc., David Alan Tucker was a registered representative for Proequities, Inc. a FINRA registered broker-dealer based in South Daytona, Florida. According to Tucker’s FINRA Broker Report (CRD), Tucker was terminated from Proequities for violating firm policy regarding advertising. Tucker’s CRD also indicates that he has been named in at least 1 customer dispute related to possible securities fraud/securities violations.

If you have any questions about investments you made with David Alan Tucker, or if you believe that you have been the victim of a securities fraud, the Law Offices of David A. Carter, P.A. may be able to help. David A. Carter is a South Florida securities fraud lawyer based in Boca Raton, Florida. He reviews securities fraud cases throughout the country and Florida, including securities fraud cases in Vero Beach, Melbourne, Daytona Beach, Palm Bay, Sebastian, Cocoa Beach, and Orlando. To contact us, please call us at 561-750-6999 or send an email to contact@carterpa.com. For more information on the firm, please visit http://www.carterpa.com.