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FINRA Fines Maxim Group Broker For Misconduct

November 03, 2018 | Posted by : Guiliano Law Group | Excessive Markups, Excessive Trading, Investment and Regulatory News, Unit Investment Trusts (UITs) | 0 Comments

Eric Howard Kunis of Woodbury New York a stockbroker formerly registered with Maxim Group LLC has been fined $2,500.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Kunis executed unsuitable trading in eleven Maxim Group LLC customer accounts. Letter of Acceptance […]

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FINRA Fines Maxim Group Broker For Misconduct

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