Broker Investigation: Donna Tucker

Donna Tucker formerly registered securities brokerDonna Tucker (CRD#: 4696985) is a formerly registered securities broker. Most recently, Ms. Tucker was employed as an investment advisor at UBS Financial Services (2007-2013), where she was based out of an office in Roanoke, Virginia.

Previously, Ms. Tucker also worked as a securities broker at A.G. Edwards & Sons (2003-2007) in Roanoke.

On September 23rd, 2013, Donna Tucker was permanently barred from the securities industry after allegations arose that she operated an investment fraud scam similar to a Ponzi scheme. In addition, in July of 2014, Ms. Tucker pled guilty to criminal tax fraud and wire fraud charges.

Here, our securities fraud lawyers review the allegations raised in an SEC Complaint against Donna Tucker.

Investment Fraud Allegations: Donna Tucker

According to the complaint filed by the Securities and Exchange Commission (SEC), Donna Tucker misappropriated more than $730,000 in funds from four different investors at UBS Financial Services. She carried out the misconduct through a complex fraud scheme. The SEC contends that this fraud scheme shared many characteristics with a typical Ponzi scheme. Among other things, Ms. Tucker:

Without to admitting or denying the wrongdoing in this case, Donna Tucker consented to sanctions that included a permanent bar from the securities industry. Notably, Ms. Tucker also pled guilty to criminal tax and wire fraud charges that were brought using the same set of underlying facts.

Speak to Our Investment Fraud Lawyers Today

At Sonn Law Group, we are strong advocates for investors. Our legal team has helped many fraud victims recover fair compensation for their investment losses. To find out how we can help you, please contact us today for a free, no obligation initial consultation.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.

Rate this post:

1 Star2 Stars3 Stars4 Stars5 Stars
(No Ratings Yet)
Loading...