Investor Education

FINRA Appeals Committee Upholds Permanent Bar Against Glenn Robert King for Mutual Fund Switching

FINRA Appeals Committee Upholds Permanent Bar Against Glenn Robert King for Mutual Fund Switching

FINRA’s appeals body, the National Adjudicatory Committee, has upheld a hearing panel decision to permanently bar Glenn Robert King from the securities brokerage industry for engaging in excessive “in and out” trading of Unit Investment Trusts and Mutual Funds in customer accounts, including the accounts of several senior investors. Incredibly,…