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Darlene Kay Bandy Barred for Failure to Cooperate with Investigation into Conversion of Funds

FINRA barred former UBS Financial Services broker Darlene Kay Bandy of UBS' Los Angeles, CA branch for failing to cooperate with an investigation into allegations that she improperly converted funds. Records indicate that Bandy, who worked at UBS for 35 years, previously did business under the name Darlene Kay Tucker.

FINRA AWC #2015044090401

According to her BrokerCheck report, UBS discharged broker the Bellflower-based Bandy after 35 years of service when the firm learned that she had not only caused the firm to improperly issue checks from a general ledger, but that she also deposited those checks into an external account under her control.

The documents state FINRA's official reason for launching the investigation as "allegations that Bandy converted member firm's funds," while the AWC also states that Bandy failed to provide testimony during a May 2015 hearing.

If you have invested with former UBS associate Darlene Kay Bandy (Darlene Kay Tucker) or with any broker or financial adviser whose improper movement or conversion of funds without permission or authorization has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

Categories: Discipline, Conversion, FINRA, UBS
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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