Gene King Allegedly Misrepresented Himself as a Tax and Retirement Expert

Gene King (CRD #: 1542794), a broker registered with Exemplar Capital, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on September 10, 2024. Details concerning this dispute are provided below. 

Investor Allegations 

On May 17, 2024, investors alleged that Gene King represented himself as an expert in investing as well as tax and retirement planning. He allegedly touted the benefits of conservation easement investments as a reliable tax strategy. The investors were allegedly assured that conservation easement investments offered “the best of both worlds.” 

What Are Conservation Easements? 

Conservation easements have been marketed to wealthy investors as a way to ease tax burdens. The IRS, however, has labeled certain syndicated conservation easements as abusive tax shelters. 

Background Information 

Gene King has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 82 Limited Representative-Private Securities Offerings 
• Series 3 National Commodity Futures Examination 
• Series 7 General Securities Representative Examination  
• Series 24 General Securities Representative Examination 

He is a registered broker in South Carolina. 

During his 17 years of experience, Gene King registered with six firms: 

• Exemplar Capital (CRD #: 155786) 
• Sequence Financial Specialists (CRD #: 132915) 
• Securities America (CRD #: 10205) 
• Prudential-Bache Securities (CRD #: 7471) 
• Dean Witter Reynolds (CRD #: 7556) 
• The Stuart-James Company (CRD #: 11691) 

Kurta Law Can Help 

If you worked with Gene King and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.