{"id":1493,"date":"2014-08-04T12:34:14","date_gmt":"2014-08-04T12:34:14","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2014\/08\/sec_charges_exubs_broker_with"},"modified":"2022-03-11T13:24:05","modified_gmt":"2022-03-11T19:24:05","slug":"sec-charges-exubs-broker-with","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/sec-charges-exubs-broker-with\/","title":{"rendered":"SEC Charges Ex-UBS Broker in $730K Elder Financial Fraud Ponzi Scam"},"content":{"rendered":"

\t\t\t\tThe Securities and Exchange Commission has filed charges against ex-UBS Wealth Management Americas (UBS) <\/a>broker Donna Tucker for a Ponzi fraud that allegedly bilked elderly investors of over $730,000. Tucker is accused of misappropriating the money from UBS customers over a five-year period while she worked at the financial firm.<\/p>\n

According to the SEC, Tucker took part in unauthorized trading, made misrepresentations to customers about the status of their funds, and forged documents and checks. She allegedly gained customers’ trust by becoming friends with them. <\/p>\n

For example, she helped one blind couple take care of their medical needs and pay their monthly bills. The latter action gave her access their checkbook. She used this authorization to forge checks written to cash that she then gave to herself. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The Securities and Exchange Commission has filed charges against ex-UBS Wealth Management Americas (UBS) broker Donna Tucker for a Ponzi fraud that allegedly bilked elderly investors of over $730,000. Tucker is accused of misappropriating the money from UBS customers over a five-year period while she worked at the financial firm. According to the SEC, Tucker […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3752,3760,3803,3755],"tags":[],"class_list":["post-1493","post","type-post","status-publish","format-standard","hentry","category-financial-firms","category-sec-enforcement","category-senior-investors","category-ubs"],"yoast_head":"\nSEC Charges Ex-UBS Broker in $730K Elder Financial Fraud Ponzi Scam — Investor Lawyers Blog — August 4, 2014<\/title>\n<meta name=\"description\" content=\"The Securities and Exchange Commission has filed charges against ex-UBS Wealth Management Americas (UBS) broker Donna Tucker for a Ponzi fraud that — August 4, 2014\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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