June 2020- Corpus Christi, TX
The FINRA records of Matthew J. King, a broker currently employed by Cambridge Investment Research Advisors, Inc. , disclose a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In September of 2019, King was permitted to resign from Ameriprise Financial while suspended for company policy violations related to a disclosed outside business activity.
King has been employed with Cambridge Investment Research, Inc. since October of 2019. He was was employed with Ameriprise Financial Services, Inc. from October 2008 until September 2019.
If you have questions about an account handled by Matthew King ,call for a no charge consultation .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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