CL King & Associates: Albany brokerage firm censured, fined $750,000 by regulatory agency

C.L. King and Associates, a stockbrokerage firm based in Albany, New York, is getting censured and fined $750,000 by the Financial Industry Regulatory Authority. The firm's chief compliance officer, Gregg Alan Miller, was also suspended for six months and fined $20,000. The penalties resolve two charges brought by FINRA's Department of Enforcement in April 2016. Those charges alleged that C.L. King and Associates made material misrepresentations and failed to disclose all facts to issuers related...