FINRA fined C.L. King & Associates

United States

09/12/2017
Fine
750,000.00
Financial Industry Regulatory Authority

Detail

C.L. King & Associates fined for negligently making material misrepresentations and omissions to issuers in connection with the firm’s redemptions of debt securities on behalf of a hedge fund customer.

Source Link

https://www.finra.org/newsroom/2017/finra-hearing-panel-fines-cl-king-associates-750000-negligent-misrepresentations-and

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FINRA fined C.L. King & Associates

United States

Detail

Source Link

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