Peter B. King Presents At Catlin Consortium, Conference For Investment Advisor And Broker/Dealer Compliance Prefessionals
TAMPA, FL (March 13, 12013) – Peter B. King, a founding member of the law firm of Guerra King P.L. in Tampa, recently spoke at the Catlin Consortium. King spoke to investment advisor and broker/dealer compliance professionals. The conference took place in Kiawah Island, South Carolina.
King practices in the area of commercial and complex litigation. In the wake of the market crash of 2000-2001 and the more recent turmoil in the capital markets, he has been involved in a wide variety of disputes involving allegations of fraud, breach of duty, and violation of securities laws in the sale of investments, both by individual investors and by government regulators and self-regulatory organizations.
King has handled matters such as the defense of claims against broker/dealers and registered representatives in litigation stemming from what was one of the largest failures of an annuity company in the country, where the receiver alleged fraud and misrepresentation in the sale of collateralized mortgage obligations. He has defended broker/dealers in connection with alleged Ponzi schemes perpetrated by former registered representatives, handling both the litigation and regulatory issues and significantly reducing the companies’ exposure on both fronts. More recently, he has been defending against claims under ERISA in connection with the sale of a defined benefit pension plan alleged to be an abusive tax shelter, exposing the plaintiffs to substantial IRS penalties.
Prior to co-founding the firm in November 2009, King was a shareholder of one of Florida’s largest and highly regarded law firms where he played an integral role in the development of a nationally recognized practice in the area of securities and financial services counseling and litigation, including serving as practice group leader. He has tried numerous cases to award in arbitration, and has extensive experience handling investigations and defending enforcement actions brought by the SEC, FINRA, and state regulators. King regularly addresses industry groups on matters of broker/dealer compliance and best practices. He is AV Peer Review Rated by Martindale-Hubbell, and has been recognized by The Best Lawyers in America, Super Lawyers of Florida, and Florida Trend Magazine’s Legal Elite. He serves on the Board of Governors and as President of the Florida Securities Dealers Association, and as a member of the executive committee of the Federal Bar Association, Tampa Bay Chapter. King received his law degree from West Virginia University, where he is a member of the Order of the Coif and Order of Barristers, and his undergraduate degree from University of South Florida.