Published On: June 16, 2016

Stoltmann Law Offices is investigating Glenn Robert King, who was accused of engaging in misconduct while associated with Royal Alliance Associates, Inc. According to a recent Disciplinary Proceeding by the Financial Industry Regulatory Authority (FINRA), King 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 and exercised discretion in the accounts of four customers without written consent and firm approval. For these transgressions, he was barred from the industry. Any customer who lost money with Glenn Robert King is urged to call our Chicago-based law offices to speak to an attorney about his options of suing King’s former firm, Royal Alliance. Royal Alliance had a duty to reasonably supervise him while he was employed there, and, because the firm did not, may be responsible for client losses. 312-332-4200. The call is free.

King was registered with Thomas James Associates, Dean Witter Reynolds, Citigroup Global Markets, Royal Alliance Associates in Lakewood, New Jersey from January 2005 until June 2011, Saxony Securities, Garden State Securities and Buckman, Buckman & Reid. He is not currently registered with any firm and has been permanently barred from the industry. He has 21 customer disputes against him, three of which are currently pending.

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