Amadou Bah of New York New York is a stockbroker formerly employed by Maxim Group LLC who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that he failed to provide FINRA with a response to FINRA’s request for information relating to Bah’s business activities. FINRA Case No. 2016049429801 (Apr. 26, 2017).
Evidently, FINRA provided Bah with a notice of suspension on January 23, 2017 and issued a suspension on February 26, 2017. Bah was prompted to provide FINRA with a request that his suspension be lifted by April 25, 2017; however, he neglected to do so which resulted in him having been automatically barred by FINRA.
FINRA Public Disclosure confirms that Bah is the subject of a customer initiated investment related arbitration claim, where the customer sought $200,000.00 in damages based upon accusations that between January of 2015 and November of 2016, during which time Bah was associated with Maxim Group LLC, options and equities transactions were placed in the customer’s account without the customer’s permission; the customer’s investment portfolio had been churned and excessively traded; and the customer had been defrauded. FINRA Arbitration No. 17-02832 (Nov. 17, 2017).
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