Proceeding Number 2007010236401

Hearing Panel Decision in Department of Enforcement v. Valerie Elaine King

April 27, 2009

For willfully failing to amend her Form U4 to reflect four civil judgments, in violation of Rule 2110 and IM-1000-1, and failing to timely and fully respond to FINRA requests for information, in violation of Rules 8210 and 2110, Respondent shall be suspended, in all capacities, for two concurrent two-year terms, and fined $2,500 for each of the two charges, payable upon re-entry into the industry.


This decision has been appealed.

View Decision (PDF 56 KB)