Investors apparently complained about securities broker William Eugene King III (also known as Gene King) [CRD: 1542794, Florence, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. King worked for Sequence Financial Specialists LLC from June 3, 2015, to February 15, 2024; Exemplar Capital LLC from February 20, 2024, to January 29, 2025; and Sequence Financial Specialists LLC beginning September 29, 2025. See below to discover more about King’s disclosures.
Evidently, on February 5, 2026, a Sequence Financial Specialists client filed FINRA Arbitration No. 25-02386 about William King. Notably, the client experienced losses on a conservation easement and development offering. For this reason, the client allegedly sustained damages linked to alternative investments. Therefore, the client requested compensation from Sequence Financial Specialists or King. BrokerCheck shows that this arbitration is awaiting a resolution.
Also, a Dean Witter client disputed William King’s sales practices, according to a complaint. Allegedly, King engaged in unsuitable trading and unauthorized trading. It appears that King caused the client to sustain damages. Consequently, Dean Witter opted to settle the matter by compensating the client in the amount of $12,000.
Particularly, a client filed a complaint about William King. Mainly, the client alleged that King mishandled the client’s account. Because of this, the client allegedly sustained damages. As a result, Prudential settled this matter by paying the client $12,800 in damages.
Do you have concerns or questions regarding investments you made with William King? Get in touch with Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the country. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. King and the brokerage firms King worked for deny allegations of sales practice violations.
Investors potentially incurred losses because of securities broker Donald Richard Abaunza Jr. [CRD: 3172450, Harvey, Louisiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Abaunza has worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC since August 10, 2022, and previously worked for Hancock Whitney Investment Services Inc. from February […]
Investors might have sustained losses due to securities broker Curtis Michael Luckman [CRD: 2865603, Woodbury, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Luckman worked for American Portfolios Financial Services Inc. from January 5, 2004, to October 11, 2024, and Osaic Wealth Inc. from October 11, 2024, to July 9, 2025. […]
Investors potentially experienced sales practice violations by securities broker Daniel L. Erben [CRD: 2994110, Saddle Brook, New Jersey], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Erben worked for TD Private Client Wealth LLC from October 18, 2018, to March 4, 2026, and became registered with Oppenheimer Co. Inc. in April 2026. […]
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