William King

Broker William King in Sequence Financial Specialists LLC Firm Has Customer Complaint

April 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William King (King), currently associated with Sequence Financial Specialists LLC, has at least one disclosable event. These events include one customer complaint, alleging that King recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 05, 2026.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care. Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.

There are Recent Customer Complaints with Broker William King in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William King (King), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that King recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on March 24, 2025.

Client alleges unsuitability and misrepresentation.

Broker William King in Exemplar Capital, LLC Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William King (King), previously associated with Exemplar Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that King recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 17, 2024.

Respondent Sequence and its agents, including the Individual Respondents, represented themselves to the Claimants as an expert in investing as well as tax and retirement planning. Respondent touted the benefits of conservation easement investments as a reliable tax saving strategy. Claimants were assured that the conservation easement investments offered the best of both worlds.

There are Recent Customer Complaints with Broker William King in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

March 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William King (King), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 10 disclosable events. These events include 9 customer complaints, one tax lien, alleging that King recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 03, 2025.

Without admitting or denying the findings, King consented to the sanctions and to the entry of findings that he exercised discretion when he placed trades in six brokerage accounts held by four firm customers, three of whom were seniors, without prior written authorization from the customers and without his member firm having accepted the accounts as discretionary. The findings stated that King discussed investment strategy with the customers but had not received authorization to exercise discretion. In addition, King inaccurately attested in compliance questionnaires that he had not exercised discretionary trading authority in customer accounts.