Corporate Law: 

C. L. King & Associates, LLC advises entrepreneurs and business of all sizes on legal issues, including entity formation, debt and equity financing, contract negotiations, mergers and acquisitions, licensing agreements and general corporate and business matters.  The firm’s clients include sales, service and manufacturing companies of all sizes.

The firm’s Corporate Law practice areas include:

• Entity formation, including corporations, limited liability companies and partnerships
• Contracts and contract negotiations
• Private equity financing
• Venture capital financing
• Shareholder Agreements
• Incentive stock plans
• Employment agreements
• Governance issues
• Sales and distribution agreements
• Non-disclosure agreements
• Acquisition agreements
• Licensing agreements
• Formation of private equity funds
• Private placements of securities
• State Blue Sky issues

For more information about the firm’s Corporate Law practice, please contact Cynthia King at (303) 258-7200 or cking@clklaw.com.

Securities Regulation: 

C.L. King & Associates, LLC has extensive experience advising broker-dealers, investment advisers and private equity funds regarding securities industry regulatory and compliance issues.

The firm’s Securities Regulation practice includes:

• Broker-Dealer registration
• Investment Adviser registration
• Broker-Dealer compliance systems and reviews
• Investment Adviser compliance systems and reviews
• Supervisory and compliance procedures
• Formation of private equity funds
• Advertising issues
• Customer agreements
• Regulatory inquiries

For more information about the firm’s Securities Regulation practice, please contact Cynthia King at (303) 258-7200 or cking@clklaw.com.

Expert Witness Services: 

Cynthia King has over 20 years of experience in the area of securities regulation, including 11 years with the National Association of Securities Dealers, Inc. (now FINRA) as Regional Counsel, Supervisor of Special Investigations and Staff Examiner.

Since 1993, Ms. King has been retained in over 125 securities and investment related disputes, both for claimants and respondents in arbitration and courtroom forums.  She has testified extensively on both regulatory issues and the application of securities laws and rules to various fact patterns and issues.  You may review her curriculum vitae here. http://www.clklaw.com/docs/CV.pdf

Ms. King provides assistance in the following key areas:

• Consulting with attorneys to assess case issues, strengths and weaknesses
• Formulation of opinions regarding the application of securities laws and regulations and assessing liability issues
• Prepare written opinions when requested
• Testify at hearings and trials
• Damages analysis

The following areas are some of the topics for which Ms. King has been qualified to offer expert testimony:

• Suitability
• Supervision
• Manipulation
• Churning
• Underwriting issues
• Securities registration issues
• Fraud and misrepresentations
• Duties of a broker
• Duties of an investment adviser
• Advertising issues
• Broker-dealer registration issues
• Finders

Ms. King has assisted national and regional brokerage firms, investment advisers, brokers, investment adviser representatives, investors, mutual funds and state attorney general offices in securities arbitrations and trials around the country.

For more information about the Ms. King’s Expert Witness services, please contact her at (303) 258-7200 or cking@clklaw.com

Damage Analysis: 

Working in conjunction with various associates, C.L. King & Associates, LLC provides data input and analysis in connection with damage assessments and challenges in securities litigation.  These services include:

• Profit and loss calculations
• Turnover analysis
• Cost/equity analysis
• Market indices comparisons
• Chronological transaction analysis
• Number of days held analysis

For more information about the firm’s Damage Analysis services, please contact Cynthia King at (303) 258-7200 or cking@clklaw.com.