RedFlags, Allegations and Complaints against WILLIAM GERARD TUCKER
Disclosure #1 for WILLIAM TUCKER
- eventDate: 4/6/2001
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: NEW JERSEY RESIDENT SAYS THAT FA DID NOT MENTION CAPITAL GAINS TAXES ON SALE OF SECURITIES TO PURCHASE MUTUAL FUNDS, OR COMMISSION, OR DIFFERENCE BETWEEN SHARE CLASSES. ALSO QUESTIONS WHETHER ELIGIBLE FOR BREAKDOWN POINTS AND ASKS ABOUT SALE OF A SHARES AND PURCHASE OF B SHARES SEVERAL DAYS LATER. CDSC AND SURRENDER PENALTY TOTAL APPROXIMATELY $14,450.00
- Damage Amount Requested: $14,450.00
- Arbitration Docket Number:
- Broker Comment: INVESTIGATION DISCLOSES THAT FA APPROPRIATELY DISCLOSED ALL ASPECTS OF REPOSITION TO MUTUAL FUNDS, INCLUDING SHARES CLASSES, BREAKPOINTS, TAX RAMIFICATIONS. CLIENT MADE INFORMED DECISION TO PURCHASE B SHARES. NO WRONGDOING FOUND. CLAIM DENIED.
Should I file a FINRA complaint against brokers like WILLIAM GERARD TUCKER?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by WILLIAM GERARD TUCKER’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About WILLIAM GERARD TUCKER
What is WILLIAM TUCKER’s Central Registration Depository (CRD) Number?
Which firm is WILLIAM GERARD TUCKER associated with?
TFS SECURITIES, INC.
Where is WILLIAM TUCKER located?
900 ROUTE 168, TURNERSVILLE, NJ, 8012
Where can I find more details about WILLIAM TUCKER’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/20626 to read a detailed report for TFS SECURITIES, INC.
Are there any disclosures, allegations or complaints filed against WILLIAM GERARD TUCKER?
Where can I download a detailed FINRA report for WILLIAM TUCKER?
Is it safe to do business with WILLIAM GERARD TUCKER?
We’re not sure. Please research WILLIAM TUCKER’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:49 am
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