Tag Archives: Glenn Robert King

Regulator Bars Buckman Buckman Reid Stockbroker

September 15, 2017  |   Posted by :   |   Investment and Regulatory News, Unit Investment Trusts (UITs)   |   0 Comments

Glenn Robert King, of Shrewsbury, New Jersey, a stockbroker formerly registered with Buckman, Buckman & Reid, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a National Adjudicatory Council Decision containing findings that King made unauthorized and excessive trades in a customer’s account. In the […]

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Buckman Buckman Reid Stockbroker Barred For Fraud

Glenn Robert King, of Shrewsbury, New Jersey, a stockbroker formerly with Royal Alliance, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he fraudulently omitted and misrepresented material facts to investors, prompted excessive and unsuitable transactions, and committed unauthorized discretionary trading. Department of […]

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