BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. C.L. King & Associates, Inc. Albany, NY, and Gregg Alan Miller Albany, NY, Respondents. DECISION Complaint No. 2014040476901 Dated: October 2, 2019 Firm failed to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to ensure compliance with the securities laws; firm and registered principal failed to establish and implement an anti-money laundering program

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052705801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James M. Lamont, Respondent General Securities Representative CRD No. 2846228 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James M. Lamont, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.