Posted On: 09/22/2016 8:55:11 AM
Post# of 72441
Just going to leave this here
-Notably, Maxim Group, LLC or its brokers have been fined by FINRA for the following securities and sales practice violations:
Most recently, on August 4, 2014, Maxim Group, LLC was fined $5,000 for effecting short sales in securities for its own account without borrowing the security as required by SEC Rules.
On June 7, 2013, Maxim Group, LLC was required to pay $95,000 as restitution to its investors for failure to execute orders fully and promptly on 49 separate occasions
-Notably, Maxim Group, LLC or its brokers have been fined by FINRA for the following securities and sales practice violations:
Most recently, on August 4, 2014, Maxim Group, LLC was fined $5,000 for effecting short sales in securities for its own account without borrowing the security as required by SEC Rules.
On June 7, 2013, Maxim Group, LLC was required to pay $95,000 as restitution to its investors for failure to execute orders fully and promptly on 49 separate occasions
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If you try to defend yourself against lies of the board moderators your post will be deleted. Just like the board they claim to be better than!!! Watch who you trust especially the "long term investors" that support the real attackers!
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