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Investor Alleges Daniel King Made Poor Recommendation

Daniel King (CRD #: 5381693), a broker registered with J.P. Morgan Securities, was recently involved in an investor dispute, according to her BrokerCheck record, accessed on February 9, 2023. Keep reading if you want to know more about her alleged conduct as a broker.

Investor Dispute

On August 7, 2022, an investor filed a dispute alleging that Daniel King made a poor recommendation concerning a managed account investment between January 5, 2021 and the date of filing. This dispute was denied by the firm.

Investors should know, however, that firms don’t need to allow an external review before denying a dispute. Investors may be able to recoup their losses by seeking out FINRA arbitration following a denial.

FINRA Rule 2111

FINRA Rule 2111 requires that brokers tailor their investment recommendations to an investor’s profile, which describes an investor’s age, risk tolerance, and other characteristics.

Investors who believe their losses are the result of unsuitable investment recommendations may be able to recover their funds by pursuing FINRA arbitration.

Background Information

Daniel King has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Daniel King is a registered broker in all 50 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

He previously worked for J.P. Morgan Securities (CRD#:18718).

Kurta Law Can Help

If you worked with Daniel 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. 

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