Former Sequence Financial Specialists LLC broker William King III (CRD# 1542794) is accused of investment losses. He has been registered with Exemplar Capital, LLC in Mt. Pleasant, South Carolina, since 2024. He was registered with Sequence Financial Specialists LLC in Charleston, South Carolina, from 2015 to 2024.
William King III Customer Complaints
He has been the subject of four customer complaints between 1987 and 2024, according to his CRD report. The most recent complaint was regarding:
May 2024. “Respondent Sequence and its agents, including the Individual Respondents, represented themselves to the Claimants as an expert in investing as well as tax and retirement planning. Respondent touted the benefits of conservation easement investments as a reliable tax saving strategy. Claimants were assured that the conservation easement investments offered the best of both worlds.” The case is currently pending. The complaint was regarding conservation easement investments, and it took place while he was registered with Sequence Financial Specialists LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Sequence Financial Specialists LLC may be liable for investment or other losses suffered by William King III’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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