Sept 12 (Reuters) – Finra Says Fine Was Imposed For Negligent Misrepresentations And Omissions Related To Firm’s Redemptions Of Debt Securities On Behalf Of A Hedge Fund Customer Finra Says Decision Resolves Charges Brought In April 2016 Finra Says A Finra Hearing Panel Fines C.L. King & Associates $750,000 Related To ‘Death Put’ Investments And Anti-Money Laundering-Related Violations Finra Also Says C.L. King’s Aml Compliance Officer Gregg Alan Miller Was Suspended In A Principal Capacity For 6 Months And Fined $20,000.
