Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that former Georgia-based Merrill Lynch broker/adviser Blake King recently resigned from his former employer following alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. King (CRD# 6012392).
Blake King has spent four years in the securities industry and was most recently registered with Merrill Lynch in Atlanta, Georgia (2012-2017). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, Blake King recently resigned from his position at Merrill Lynch.
In January 2017 Blake King submitted his “voluntary resignation” from Merrill Lynch following allegations of “Conduct involving exercising discretion in non discretionary clients’ accounts.”
FINRA rules prohibit brokers and investment advisers like Blake King from “Purchasing or selling securities in a customer’s account without first contacting the customer and receiving the customer’s authorization to make the sale or purchase, unless the broker has received from the customer written discretionary authority to effect transactions in the account or the broker was given discretion as to price and time.” Investment professionals who exercise discretion without adequate authorization may be subject to disciplinary action by FINRA or the Securities and Exchange Commission.
If you have lost money investing with Blake King, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.