Fined: C. L. King & Associates, Inc. Fined by FINRA

Fined
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C. L. King & Associates, Inc. Fined by FINRA

A National Adjudicatory Counsel (NAC) decision became final in which the firm was censured, fined $342,000 and ordered to retain an independent consultant and Miller was fined $20,000, suspended from association with any FINRA® member in any principal and supervisory capacity for three months and required to requalify by examination before acting in any principal or supervisory capacity.

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