2020065141401 Maxim Group LLC CRD 120708 AWC gg (2024-1731889199344).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065141401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Maxim Group LLC (Respondent)
Member Firm
CRD No. 120708
Pursuant to FINRA Rule 9216, Respondent Maxim Group LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.