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FINRA Awards for C.L. King & Associates.

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0119811/03/2017Claimant(s): NSB Advisors LLC
Claimant Lawyers(s): Ramsey Hinkle
Respondent(s): C.L. King & Associates.
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Joseph B. Russell, Carole L. Green
Hearing Site: New York, NY
Checkmark Icon$1,750,000
10-0516801/31/2012Claimant(s): Navigate Advisors
Claimant Lawyers(s): Joseph F. Generelli
Respondent(s): C.L. King & Associates.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Henry F. Minnerop, Robert L. Spangler, Abe I. Borenstein
Hearing Site: New York, NY

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