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March 28, 2018

Mark Ketner, Maxim Group Broker, Suspended from Securities Industry for Alleged Unsuitable Short-Term Investment Recommendations

On March 27, 2018, FINRA announced it suspended securities broker Mark Ketner from associating with firms registered with FINRA for two months and fined him $5,000.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA said it suspended Mark Ketner

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