FINRA fined C.L. King & Associates

Reason:
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.
Date: 12/09/2017
Amount: 750,000
Link: https://www.finra.org/newsroom/2017/finra-hearing-panel-fines-cl-king-associates-750000-negligent-misrepresentations-and

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