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Broker Complaints: C.L. King & Associates (CRD# 6183)

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding the New York-based broker-dealer firm C.L. King & Associates (CRD# 6183).

Formed New York in 1972, C.L. King & Associates is headquartered in Albany, New York and registered in 35 US states and territories. Candace King Weir is President, Chief Executive Officer, Treasurer, and Director; Robert Benton is Chief Financial Officer and Director; Christopher Joseph Edwards is Chief Operating Officer and Senior Managing Director; Gregg Alan Miller is Chief Compliance Officer and Managing Director.

According to the firm’s BrokerCheck report, C.L. King & Associates is the subject of four regulatory sanctions.

In 2009 the Financial Industry Regulatory Authority (FINRA) sanctioned C.L. King & Associates following allegations, among others, the firm failed to report accurate trading information in response to requests by FINRA. C.L. King & Associates was censured and issued a fine of $22,000.

In 1994 the National Association of Securities Dealers (NASD) sanctioned C.L. King & Associates following allegations the firm failed to report twelve trades to the NASDAQ exchange. C.L. King & Associates was censured and issued a fine of $2,500.

In 1990 NASD sanctioned C.L. King & Associates following allegations the firm failed to report NASDAQ volume and failed to follow NASDAQ reporting procedures. C.L. King & Associates was censured and issued a fine of $250.

In 1978 NASD sanctioned C.L. King & Associates following allegations the firm failed to follow NASDAQ reporting procedures. C.L. King & Associates was censured and issued a fine of $500.

If you have lost money investing with C.L. King & Associates, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover your losses. All cases are taken on a contingency basis, which means Fitapelli Kurta only gets paid if and when you recover 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.