Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 16, 2017 indicate that New York-based broker-dealer firm CL King & Associates has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding C.L. King & Associates (CRD#…

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According to a release published by the Financial Industry Regulatory Authority (FINRA) on December 21, 2017, FINRA has sanctioned broker-dealer firm Raymond James Financial Services $2 million in connection to the firm’s alleged supervisory failures. Fitapelli Kurta is interested in speaking to investors who have complaints regarding investments made with Raymond James Financial Services. FINRA’s…

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