Murry Meir Shapero of Miami Florida a stockbroker currently registered with Maxim Group LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he placed unauthorized trades in accounts of seventy-five Maxim Group customers. Letter of Acceptance Waiver and Consent No. 2018056487801…
Michael Gary Solomon of New York New York a stockbroker currently registered with Maxim Group LLC is the subject of a customer initiated investment related arbitration claim where the customer sought $50,000.00 in damages supported by allegations that (1) commissions or fees charged to the customer for stock trades had not been disclosed by Solomon…
Thomas John Lisa Jr. of New York New York a stockbroker currently employed by Wilmington Capital Securities LLC has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon Lisa’s consent to findings that he engaged in an outside business activity without disclosing it to…
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…
Maxim Group LLC a brokerage firm headquartered in New York New York has been censured and fined $65,000.00 by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that it failed to supervise its stockbrokers’ recommendations of unit investment trusts to ensure that they were not unsuitable for customers. Letter of Acceptance…
Michael Gary Solomon of New York New York a stockbroker currently registered with Maxim Group LLC is referenced in a customer initiated investment related arbitration claim where the customer requested $246,928.64 in damages founded on allegations that between January 1, 2015 and December 31, 2015, Solomon placed over-the-counter equities and stock transactions in the customer’s…
Gil Sharon of New York New York is a stockbroker currently registered with Maxim Group LLC who is the subject of a customer initiated investment related arbitration claim in which the customer requested $200,000.00 in damages supported by allegations that (1) unauthorized options and equity trades had been executed in the customer’s account (2) the…
Mark Jude Ketner of New York New York is a stockbroker currently registered with Maxim Group LLC who has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made unsuitable investment trust recommendations to customers. Letter of Acceptance Waiver…
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….
Daniel Cleophas Alcide, of Red Bank, New Jersey, a stockbroker formerly registered with J.P. Turner & Company, L.L.C., has been named in a customer initiated investment related written complaint on December 3, 2015, in which the customer requested $150,000.00 in damages based upon allegations that Alcide engaged in high pressure sales tactics, made misrepresentations concerning…
Rodney Bahy Ibrahim, of New York, New York, a stockbroker formerly registered with Maxim Group, LLC, was terminated from the company on June 23, 2015, based upon allegations that he made misrepresentations to a customer following a wire transfer request. FINRA Public Disclosure reveals that on December 9, 2009, Ibrahim was named in a customer…
Christopher Kazan, of South Norwalk, Connecticut, a former stockbroker with Maxim Group LLC, was subject to a customer initiated investment related arbitration claim on August 24, 2015, which was settled for $85,000.00 in damages based upon allegations that Kazan effected unsuitable investment transactions in the customer’s investment account between October of 2012 through August of…
Mark Ketner, of Woodbury, New York, a stockbroker with Maxim Group LLC, was named in a customer intiiated investment related claim where the customer has requested $475,000.00 in damages based upon the allegation that Ketner made excessive and unsuitable trades of investments in the customer’s account. FINRA’s BrokerCheck also reveals that Ketner has been subject…