Andrew Maynerich Subject of a FINRA Suspension
Andrew Maynerich (CRD #: 5912401) has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed on October 31, 2023. Keep reading if you have questions about his alleged conduct.
On September 13, 2023, Andrew Maynerich entered into an Acceptance, Waiver, and Consent agreement in which he consented to the findings that he electronically signed, without prior permission, 20 documents on behalf of customers, three of whom were seniors. The AWC alleges that Andrew Maynerich falsely attested on a compliance questionnaire that he had not signed or affixed another person’s signature on a document. The AWC further alleged that Andrew Maynerich caused his firm to maintain inaccurate books and records.
As part of the terms of the AWC, Andrew Maynerich consented to a fine of $5,000 and a two-month suspension.
You can read a copy of the AWC here.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Electronically signing signatures without permission violates this rule.
FINRA Rule 4511
FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records.
Andrew Maynerich has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He has registered with two firms:
- LPL Financial (CRD #: 6413)
- Investment Centers of America (CRD #: 16443)
Kurta Law Can Help
If you worked with Andrew Maynerich and have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.