Cynthia L. King
About Cynthia L. King
Cynthia King has over 20 years of experience in the areas of business law and securities regulation, including 11 years with the National Association of Securities Dealers, Inc., now FINRA. She uses her large firm background and broad experience to provide every client, regardless of size, the same high level of personal service. She is especially adept at helping clients in unique legal situations where creative problem solving and attention to detail can mean the difference between success and failure.
Ms. King graduated from the University of Colorado at Boulder cum laude with a B.S. in Business Administration and from the University of Denver College of Law with a Juris Doctorate. She was employed by the National Association of Securities Dealers, Inc. (now FINRA) for over 11 years in various capacities, including staff examiner, supervisor of special investigations and Regional Counsel.
In 1996 she entered private practice, where she continues to focus on securities regulatory matters as well as general business law issues. In 2004, she founded C.L. King & Associates, LLC, a boutique law firm specializing in business and securities law. In 2011, she expanded her practice to Arizona, and in 2021 she expanded to Texas. Ms. King is licensed to practice law in Colorado, Arizona, and Texas.
Cynthia King specializes in all types of complex business transactions, including mergers and acquisitions, capital raising and contract negotiations. She advises broker-dealers and investment advisers on regulatory and compliance matters, including registration, supervisory and compliance policies, internal audits, client agreements and employment matters. She represents both public and private companies, their officers and directors, issuers of securities, broker-dealers and investment advisers. Ms. King also serves as an expert witness in securities litigation, assisting both claimants and respondents in arbitrations and trials throughout the country.