ROBERT DURANT TUCKER

12/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. ROBERT DURANT TUCKER (CRD No. 1725356), Respondent Disciplinary Proceeding No. 2012034923001 Hearing Officer - MC DEFAULT DECISION December 27, 2013 Respondent is barred from associating with any FINRA member firm in any capacity for (i) making misrepresentations and omissions of material fact in connection with the sale of a purported security, in violation of Section 10(b)

06/21/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT DURANT TUCKER (CRD No. 1725356) Respondent. DISCIPLINARY PROCEEDING No. 2012034923001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On or about May 18, 2012, while registered with FINRA through an association with ICM Capital Markets Ltd. (n/k/a Lampert Capital Markets Inc.) ("ICM"), Respondent Robert Durant Tucker

Reference 2012034923001data-portal.finra.orgdata-portal.finra.orgfinra.org

09/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT DURANT TUCKER (CRD No. 1725356) Respondent. DISCIPLINARY PROCEEDING No. 20090167649 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On December 19, 2008, while Respondent Robert Durant Tucker ("Tucker") was registered with FINRA through an association with member firm Bishop Rosen & Co. Inc. (BD No. 1258)

01/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT DURANT TUCKER (CRD No. 1725356), Respondent. Disciplinary Proceeding No. 2009016764901 Hearing Officer-SNB HEARING PANEL DECISION January 11, 2013 Respondent is barred for (1) improperly approving a transfer of customer funds, in violation of FINRA Rule 2010; (2) converting those customer funds, in violation of NASD Rule 2330 and FINRA Rule 2010;

12/31/2013: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robert Durant Tucker New York, NY, Respondent. DECISION Complaint No. 2009016764901 Dated: December 31, 2013 A hearing panel barred the respondent for improperly approving a transfer of customer funds, converting the funds, and improperly commingling the funds. Held, findings affirmed in part, and bar imposed by the hearing panel affirmed. Appearances For the

Reference 2009016764901data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org