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FINRA Disciplinary Actions Online

Displaying 1 - 3 of 3
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2014040476901 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 NAC Decisions
C.L. KING & ASSOCIATES, INC.
GREGG ALAN MILLER
10/02/2019
2014040476901 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. C.L. KING & ASSOCIATES, INC., (CRD No. 6183), and GREGG ALAN MILLER (CRD No. 4163500), Respondents. Disciplinary Proceeding No. 2014040476901 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION September 6, 2017 Respondent Firm negligently made material misrepresentations and failed to disclose all material facts to issuers OHO Decisions
C.L. KING & ASSOCIATES, INC.
GREGG ALAN MILLER
09/06/2017
2014040476901 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. C. L. KING & ASSOCIATES, INC. (BD No. 6183), AND GREGG ALAN MILLER (CRD No. 4163500), Respondents. DISCIPLINARY PROCEEDING No. 2014040476901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period of at least January 2012 through March 2015, CL King & Associates, Inc. ("CL King" or the ''Firm") assisted customer EACM and EACM's Managing Member, JL, in a scheme to Complaints
C.L. KING & ASSOCIATES, INC.
GREGG ALAN MILLER
04/18/2016