{"id":2691,"date":"2016-09-19T00:00:00","date_gmt":"2016-09-19T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/new-jersey-broker-glenn-king-barred-finra\/"},"modified":"2018-10-08T12:38:23","modified_gmt":"2018-10-08T16:38:23","slug":"new-jersey-broker-glenn-king-barred-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/new-jersey-broker-glenn-king-barred-finra\/","title":{"rendered":"New Jersey Broker Glenn King Barred by FINRA"},"content":{"rendered":"<\/p>\n

\"New<\/p>\n

Allegations against King include making fraudulent misrepresentations to clients<\/h2>\n

Glenn King, a former broker based in New Jersey, has been barred from acting as a broker by the Financial Industry Regulatory Authority (FINRA) for misconduct. A veteran in the securities industry with a career that dates back to 1992, King has received 19 customer complaints and is the subject of several investigations and two financial disclosures.<\/p>\n

According to FINRA, King allegedly made fraudulent misrepresentations and neglected to provide the required prospectus to clients in association with Unit Investment Trusts (UITs) while employed by Royal Alliance Associates, a national financial advisory firm. The FINRA report states that King made his elderly clients believe that he would use their investment funds to purchase safe, no-risk bonds and that he would not charge commissions for these transactions. However, investigations show that he purchased 44 UITs that caused his clients to lose tens of thousands of dollars while he made $38,000 in commissions. These FINRA allegations and an internal review by his member firm caused King to be terminated from Royal Alliance Associates in June of 2011.<\/p>\n

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

Allegations against King include making fraudulent misrepresentations to clients Glenn King, a former broker based in New Jersey, has been barred from acting as a broker by the Financial Industry Regulatory Authority (FINRA) for misconduct. A veteran in the securities industry with a career that dates back to 1992, King has received 19 customer complaints […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[9],"class_list":["post-2691","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-finra"],"yoast_head":"\nNew Jersey Broker Glenn King Barred by FINRA — Securities Arbitration Lawyers Blog — September 19, 2016<\/title>\n<meta name=\"description\" content=\"Check out the new article New Jersey Broker Glenn King Barred by FINRA on silverlaw.com\" \/>\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.silverlaw.com\/blog\/new-jersey-broker-glenn-king-barred-finra\/\" \/>\n<meta name=\"twitter:card\" 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