{"id":2939,"date":"2015-09-08T00:00:00","date_gmt":"2015-09-08T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/broker-sylvester-king-jr-resigns-from-wells-fargo-advisors-llc-concurrent-with-finra-suspension\/"},"modified":"2015-09-08T00:00:00","modified_gmt":"2015-09-08T04:00:00","slug":"broker-sylvester-king-jr-resigns-from-wells-fargo-advisors-llc-concurrent-with-finra-suspension","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-sylvester-king-jr-resigns-from-wells-fargo-advisors-llc-concurrent-with-finra-suspension\/","title":{"rendered":"Broker Sylvester King, Jr. Resigns from Wells Fargo Advisors, LLC Concurrent with FINRA Suspension"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Sylvester-King-Jr.-Resigns-from-Wells-Fargo-Advisors-LLC-Concurrent-with-FINRA-Suspension1.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1900\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Sylvester-King-Jr.-Resigns-from-Wells-Fargo-Advisors-LLC-Concurrent-with-FINRA-Suspension1-1024x683.jpg\" alt=\"Broker Sylvester King, Jr. Resigns from Wells Fargo Advisors, LLC Concurrent with FINRA Suspension on silverlaw.com\" width=\"1024\" height=\"683\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Sylvester-King-Jr.-Resigns-from-Wells-Fargo-Advisors-LLC-Concurrent-with-FINRA-Suspension1-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Sylvester-King-Jr.-Resigns-from-Wells-Fargo-Advisors-LLC-Concurrent-with-FINRA-Suspension1-300x200.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a><\/h2>\n<h2>King allegedly concealed loans from the firm, among other violations<\/h2>\n<\/p>\n<p>Fort Lauderdale-based broker Sylvester King, Jr. found himself in hot water with FINRA in April 2015, according to the <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/4011622\"  target=\"_blank\">BrokerCheck website<\/a>. So much so that he resigned from his most recent employer, Wells Fargo Advisors, LLC the same day he filed his Acceptance, Waiver and Consent (AWC) letter with FINRA.<\/p>\n<p>According to the <a href=\"http:\/\/disciplinaryactions.finra.org\/Search\/ViewDocument\/48058\"  target=\"_blank\">AWC letter<\/a>, while employed by Morgan Stanley in 2009 and lasting through 2012 when employed by Wells Fargo, King allegedly violated FINRA rules in a number of ways. First, he allegedly helped another broker conceal almost $400,000 in loans to three firm customers, and made a $25,000 loan to a customer without his firm\u2019s permission. He was also allegedly involved in an undisclosed private securities transaction that involved eight firm customers investing more than $3 million. Then, on two separate questionnaires, he allegedly provided false information to Morgan Stanley regarding participating in private securities transactions.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/broker-sylvester-king-jr-resigns-from-wells-fargo-advisors-llc-concurrent-with-finra-suspension\/\"  title=\"Continue Reading Broker Sylvester King, Jr. Resigns from Wells Fargo Advisors, LLC Concurrent with FINRA Suspension\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>King allegedly concealed loans from the firm, among other violations Fort Lauderdale-based broker Sylvester King, Jr. found himself in hot water with FINRA in April 2015, according to the BrokerCheck website. So much so that he resigned from his most recent employer, Wells Fargo Advisors, LLC the same day he filed his Acceptance, Waiver and [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[406],"class_list":["post-2939","post","type-post","status-publish","format-standard","hentry","category-all-releases","tag-finra-suspension"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker Sylvester King, Jr. Resigns from Wells Fargo Advisors, LLC Concurrent with FINRA Suspension &#8212; Securities Arbitration Lawyers Blog &#8212; September 8, 2015<\/title>\n<meta name=\"description\" content=\"Check out the full article on Broker Sylvester King, Jr. Resigns from Wells Fargo Advisors, LLC Concurrent with FINRA Suspension 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\/broker-sylvester-king-jr-resigns-from-wells-fargo-advisors-llc-concurrent-with-finra-suspension\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Broker Sylvester King, Jr. Resigns from Wells Fargo Advisors, LLC Concurrent with FINRA Suspension &#8212; 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