GLENN ROBERT KING

06/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. GLENN ROBERT KING (CRD No. 2191091), Respondent. Disciplinary Proceeding No. 2015044444801 Hearing Officer CC DEFAULT DECISION June 9, 2016 Respondent fraudulently misrepresented and omitted material facts during securities sales to seven customers, engaged in unsuitable and excessive short-term trading of long-term investment products in the accounts of four customers,

11/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Glenn Robert King (CRD No. 2191091), Respondent. DISCIPLINARY PROCEEDING No. 2015044444801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about April 2008 through in or about March 2011, while associated with Royal Alliance Associates, Inc. ("Royal"), Respondent Glenn Robert King ("King") made fraudulent misrepresentations and omissions

07/20/2017: BEFORE THIE NATIONAL AD.IUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter oi Department of Enforcement, Complainant, vs. Glenn Robert King, Marlboro, NJ, Respondent. DECISION Complaint No. 2015044444801 Dated: July 20, 2017 Respondent excessively traded customer accounts and exercised discretion in customer accounts without written consent or approval. There is insufficient evidence to prove by a preponderance of the evidence that the respondent made fraudulent

Reference 2015044444801data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org