May 2016-Woodbury, New York
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
According to FINRA records, Maxim Group stockbroker Mark J. Ketner discloses:
- Six prior settled customer complaints, including FINRA Case 13-1732, where a customer alleged damages of $394,644 for unsuitable investments. That case was settled for $150,000.
- One pending customer dispute. In FINRA Case 15-03492 a client alleges damages of $475,000 for unsuitable trades and excessive trading.
- Four Internal Revenue Service liens.
According to FINRA records, Mark J. Ketner has been registered with Maxim Group since 10/2002.
If you have questions about an account handled by Mark J. Ketner contact us to discuss your options and to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900