Cynthia L King
C L King & Associates, LLC
Suitability, Supervision, Manipulation, Churning, Underwriting and disclosure issues, Securities registration issues, Fraud and misrepresentations, Duties of a broker, Duties of an investment adviser, Broker-dealer and investment advisor registration issues, Finders
Cynthia King has over 20 years of experience in the area of securities regulation, including 11 years with the National Association of Securities Dealers, Inc. (now FINRA) as Regional Counsel, Supervisor of Special Investigations and Staff Examiner. She has been retained as an expert witness in over 125 securities and investment related disputes, both for claimants and respondents in arbitration and courtroom forums.
Ms. King has assisted national and regional brokerage firms, investment advisers, registered persons, investment adviser representatives, investors, mutual funds, state attorney general offices and the U.S. Justice Department in securities arbitrations and trials around the country. She has testified extensively on both regulatory issues and the application of securities laws and rules to various fact patterns and issues.