Glenn Robert King—Fraudulent Misrepresentations and Omissions

ohio stockbroker fraud attorneysGlenn Robert King Allegedly Made Fraudulent Misrepresentations and Omissions to Seven Royal Alliance Associates, Inc Customers with the Sale of UIT

Glenn Robert King, from in or about January 2013 through in or about December 2014 and while associated with Buckman, Buckman & Reid, allegedly made fraudulent misrepresentations and omissions to seven Royal Alliance Associates, Inc customers in connection with the sale of Unit Investment Trusts, or UIT, according to a recent Complaint from FINRA’s Department of Enforcement currently under review by attorneys Joe Peiffer and Alan Rosca.

What is more, King allegedly also engaged in a pattern of short-term trading in long-term investment products in the accounts of four Buckman, Buckman & Reid (BBR) customers and exercised discretion in the accounts of four BBR customers without their written authority, or the approval of his member firm, the Complaint notes.

The Peiffer Wolf securities lawyers are currently investigating Glenn Robert King’s alleged fraudulent misrepresentations and omissions to seven Royal Alliance Associates, Inc customers in connection with the sale of UIT.

Glenn Robert King’s Customers Allegedly Lost Over a Combined $163,000, Making Over $210,000 for Himself in Commissions

Glenn Robert King, from in or about January 2013 through in or about December 2014, and while associated with Buckman, Buckman & Reid, allegedly engaged in a pattern of short-term trading in long-term investment products in the accounts of four BBR customers, according to a recent Complaint from FINRA’s Department of Enforcement currently under review by attorneys Joe Peiffer and Alan Rosca.

This pattern of trading was excessive and unsuitable, and resulted in approximately $163,000 in losses to the customers, while King generated gross commissions of approximately $210,000, the Complaint notes.

Based on the aforementioned and alleged misconduct, King violated FINRA Rules, the Complaint notes.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged fraudulent misrepresentations and omissions to customers. They are currently investigating Glenn Robert King’s alleged pattern of short-term trading in long-term investment products. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Glenn Robert King’s alleged pattern of short-term trading in long-term investment products may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1225 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.