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Investor Alleges Bryant King Sold Unsuitable Variable Policy

May 20, 2022 Unsuitable Investments

Bryant King (CRD #: 6136051), a broker registered with Equitable Advisors, was involved in a recent dispute, according to his BrokerCheck record, accessed on May 16, 2022. Read on if you have questions about Bryant King’s conduct as a broker.

Investor Disputes

Bryant King has been named in two investor disputes, both of which were denied by Equitable Advisors:

  • On March 2, 2022, an investor alleged that Bryant King sold them an unsuitable variable policy in 2020.
  • On September 24, 2015, an investor claimed that Bryant King misrepresented a variable annuity purchased in 2014.

Investors should know that firms do not need to allow an external review before denying a dispute. Even if a dispute has been denied, investors can still seek FINRA arbitration to recover their losses.

FINRA Rule 2111

FINRA Rule 2111 requires that brokers tailor their investment recommendations to suit investors’ profiles. Brokers must take into consideration the information provided in these profiles, such as clients’ tax status, other investments, and financial goals.

Investors who feel their losses were caused by unsuitable investment recommendations may be able to recoup their losses by seeking FINRA arbitration.

FINRA Rule 2020

Misrepresentation of an investment violates FINRA Rule 2020, which bans the use of deceptive, manipulative, and otherwise unethical means of influencing the sale or purchase of securities.

Background Information

Bryant King has passed the following exams:

  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Kurta Law Can Help

If you worked with Bryant King and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.