FINRA has expelled securities broker Stephen Philip King [CRD: 1590508, Eatontown, New Jersey], according to disclosures on FINRA BrokerCheck. Apparently, King worked for Cantone Research Inc. from November 17, 2014, to September 5, 2023. Keep reading to learn more about King’s regulatory issues.
According to a regulatory action by FINRA, Stephen King was barred from associating with any FINRA member firm as of December 2, 2024. The action followed King’s refusal to appear for testimony during a FINRA investigation related to Cantone Research Inc.’s recommendations involving low-priced securities. FINRA Rule 8210 requires registered individuals to cooperate fully with regulatory investigations, including by providing testimony when requested.
FINRA had contacted King on October 22, 2024, to appear for on-the-record testimony. King acknowledged the request but informed FINRA via email and phone that he would not comply. This led FINRA to determine that King violated both Rule 8210 and Rule 2010. As a result, King consented to the imposition of a permanent bar through a Letter of Acceptance, Waiver, and Consent (AWC). This bar prohibits King from associating with any FINRA member in any capacity.
Are you looking for more information about Stephen King? If so, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. King and brokerage firms King worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com