Tucker failed to disclose his two bankruptcies, federal tax lien, three judgments, and one state tax lien on Forms U4, in violation of NASD Rule 2110 and IM-1001-1.

FORBES: Barred Stockbroker Barred Again For Wire Transfers From Elderly Client

He denied knowledge of and responsibility for the judgments, repeatedly avoided answering direct questions about the federal tax lien and his Form U4 disclosures, and said he disclosed his bankruptcies on some (though not all) of the Forms U4 he submitted.

FORBES: Undisclosed Bankruptcies,Tax Liens and Judgments Derail Stockbroker