C.L. King & Associates Inc.

07/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 20130378622-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: C.L. King & Associates, Inc., Respondent Broker-Dealer CRD ND. 6183 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, C.L. King & Associates, lnc. ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013037862201data-portal.finra.orgfinra.org

04/18/2016: 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

10/02/2019: 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

09/06/2017: 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

Reference 2014040476901data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

01/22/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039030201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: C.L. King & Associates, Inc. CRD No. 6183 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, C.L. King & Associates, Inc. (“C.L. King” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014039030201data-portal.finra.orgfinra.org

01/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.*** 20050030783-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: C.L. King & Associates, Inc., Respondent Broker-Dealer CRD No. 6183 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Respondent C.L. King & Associates, Inc. ("KING" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2005003078302data-portal.finra.orgfinra.org