{"id":6387,"date":"2018-08-29T16:18:32","date_gmt":"2018-08-29T16:18:32","guid":{"rendered":"http:\/\/www.investorlawyers.com\/?p=6387"},"modified":"2018-08-29T16:18:32","modified_gmt":"2018-08-29T16:18:32","slug":"shepherd-smith-edwards-kantas-llp-investigating-claims-involving-donna-tucker-and-ubs-financial-services","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/shepherd-smith-edwards-kantas-llp-investigating-claims-involving-donna-tucker-and-ubs-financial-services\/","title":{"rendered":"Shepherd Smith Edwards &#038; Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services"},"content":{"rendered":"<p>\t\t\t\tRoanoke, VA \u2013 August 1, 2014<\/p>\n<p>Lawyers with the Securities Law Firm of SHEPHERD SMITH EDWARDS &amp; KANTAS LLP, www.sseklaw.com, are investigating claims involving Donna Tucker and UBS Financial Services, Inc.\u00a0 Donna Tucker worked as a broker with A.G. Edwards for four years until she joined UBS Financial Services in November of 2007.\u00a0 After working at UBS for about six years, Ms. Tucker was permanently barred from the industry by the Financial Institute Regulatory Authority (\u201cFINRA\u201d).\u00a0 FINRA began conducting an investigation sometime in 2013, during which it requested information from Ms. Tucker.\u00a0 When Ms. Tucker refused to comply with that request, her license was suspended, and she was later permanently barred from working in the industry.<\/p>\n<p>Recently, the Securities and Exchange Commission charged Donna Tucker of operating a Ponzi scheme for almost the entire period of time she was working at UBS.\u00a0 According to the SEC complaint, Ms. Tucker stole over $730,000 from her clients between January 2008 and April 2013.\u00a0 She did this by forging checks drawn on client accounts, establishing margin loans on customer accounts without the knowledge or approval of the client, and used those funds to repay other customers.\u00a0 To hide her actions, she ensured that her clients only received electronic statements, which Ms. Tucker knew her elderly clients would not check, and then falsified records that did not show anything amiss.\u00a0 Ms. Tucker then used this money to fund a lavish lifestyle for herself, including vacations, multiple cars, expensive clothing, and a country club membership.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/shepherd-smith-edwards-kantas-llp-investigating-claims-involving-donna-tucker-and-ubs-financial-services\/\"  title=\"Continue Reading Shepherd Smith Edwards &#038; Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Roanoke, VA \u2013 August 1, 2014 Lawyers with the Securities Law Firm of SHEPHERD SMITH EDWARDS &amp; KANTAS LLP, www.sseklaw.com, are investigating claims involving Donna Tucker and UBS Financial Services, Inc.\u00a0 Donna Tucker worked as a broker with A.G. Edwards for four years until she joined UBS Financial Services in November of 2007.\u00a0 After working [&hellip;]<\/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":[3762,3755],"tags":[3134],"class_list":["post-6387","post","type-post","status-publish","format-standard","hentry","category-current-investigations","category-ubs","tag-usb-financial-services"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Shepherd Smith Edwards &amp; Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services | SSEK Law Firm Blog<\/title>\n<meta name=\"description\" content=\"SSEK is investigating claims involving Donna Tucker and UBS Financial Services, Inc.\u00a0 Donna Tucker worked as a broker with A.G. Edwards for four years until she joined UBS Financial Services in November of 2007.\u00a0\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/shepherd-smith-edwards-kantas-llp-investigating-claims-involving-donna-tucker-and-ubs-financial-services\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Shepherd Smith Edwards &amp; Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services | SSEK Law Firm Blog\" \/>\n<meta name=\"twitter:description\" content=\"SSEK is investigating claims involving Donna Tucker and UBS Financial Services, Inc.\u00a0 Donna Tucker worked as a broker with A.G. Edwards for four years until she joined UBS Financial Services in November of 2007.\u00a0\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services | SSEK Law Firm Blog","description":"SSEK is investigating claims involving Donna Tucker and UBS Financial Services, Inc.\u00a0 Donna Tucker worked as a broker with A.G. 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Edwards for four years until she joined UBS Financial Services in November of 2007.\u00a0","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/shepherd-smith-edwards-kantas-llp-investigating-claims-involving-donna-tucker-and-ubs-financial-services\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/shepherd-smith-edwards-kantas-llp-investigating-claims-involving-donna-tucker-and-ubs-financial-services\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Shepherd Smith Edwards &#038; Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services","datePublished":"2018-08-29T16:18:32+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/shepherd-smith-edwards-kantas-llp-investigating-claims-involving-donna-tucker-and-ubs-financial-services\/"},"wordCount":499,"keywords":["USB financial services"],"articleSection":["Current Investigations","UBS"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/shepherd-smith-edwards-kantas-llp-investigating-claims-involving-donna-tucker-and-ubs-financial-services\/","url":"https:\/\/www.investorlawyers.com\/blog\/shepherd-smith-edwards-kantas-llp-investigating-claims-involving-donna-tucker-and-ubs-financial-services\/","name":"Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services | SSEK Law Firm Blog","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"datePublished":"2018-08-29T16:18:32+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"SSEK is investigating claims involving Donna Tucker and UBS Financial Services, Inc.\u00a0 Donna Tucker worked as a broker with A.G. 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