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FINRA Suspends Kingswood Capital’s Broker Daniel King For Unsuitable Trading
Banks Law Office

October 1, 2023

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On July 17, 2023, Daniel M. King of Venice, California, was issued an AWC (Acceptance, Waiver, and Consent) by FINRA. In this disciplinary action, King was fined $10,000, suspended from associating with any FINRA member for two months, and ordered to pay $33,374.31 plus interest in restitution to a customer. This restitution is related to…

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