David Alan Tucker (CRD # 3212328, Registered Representative, Port Orange, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 20 days. Without admitting or denying the findings, Tucker consented to the described sanctions and to the entry of findings that he engaged in radio broadcasts during which he made statements which were misleading and omitted material information, failed to provide a balanced presentation, and/or were exaggerated, unwarranted and promissory. The findings stated that Tucker placed a print advertisement in a local newspaper that failed to provide a sound basis for certain claims. The findings also stated that Tucker engaged in the public radio broadcasts and placed the print advertisement without a firm registered principal’s approval. The suspension was in effect from December 21, 2009, through January 9, 2010. (FINRA Case # 2008014583501)