September 13, 2023 – An AWC was issued in which Maynerich was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Maynerich consented to the sanctions and to the entry of findings that he electronically signed, with prior permission, documents on behalf of customers, three of whom were seniors. The findings stated that Maynerich falsely attested in a compliance questionnaire that he had not signed or affixed another person’s signature on a document. By falsifying documents, Maynerich caused his member firm to maintain inaccurate books and records.
The suspension is in effect from September 18, 2023, through November 17, 2023. (FINRA Case #2022074618101)