FINRA Bars Miami, Florida Broker

In January 2010, FINRA barred Miami, Florida broker Thailia Alisa Tucker from association with any FINRA member brokerage firm in any capacity. Tucker consented to the sanction and to the entry of findings that she misappropriated approximately $847,188.87 from customers' accounts at her member firm and used the funds for her own use and benefit. FINRA's findings stated that to facilitate her improper use and misappropriation of customer funds, Tucker caused international customers' accounts to be removed from an abandoned status, caused the addresses for the accounts to be changed to addresses that she controlled, effected unauthorized sales of securities in the customers' accounts, forged Letters of Authorization (LOAs) and Wire Transfer Agreements (WTAs) to transfer funds out of the customers' accounts, and approved and processed the fraudulent LOAs and WTAs. The findings also included that, to make cash available, Tucker sold securities in several accounts without the customers' knowledge or authorization, then transferred the proceeds to herself through relatives by wire or check. FINRA found that Tucker failed to respond to FINRA requests for information and failed to appear for an on-the-record interview.

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