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King Financial Services, Inc.

King Financial Services, Inc. (CRD #25843, Iselin, New Jersey) received a censure and fine of $10,000. According to the findings, the firm failed to respond in a timely manner to NASD requests for an automated submission of trading data for Nasdaq National MarketŪ (NNM) securities and one request for an automated submission of trading data for a non-Nasdaq security. Additionally, the regulators also found that the firm submitted an automated submission of trading data more than 30 days after the date such information was required to be provided. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS990157)

Did King Financial Services, Inc. manage your investments?



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