Mark Ketner, Maxim Group Broker, Suspended from Securities Industry for Alleged Unsuitable Short-Term Investment Recommendations
Adam J. Marquardt
March 28, 2018
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
