From December 2019 to March 2023, Maxim failed to make or timely make required filings with FINRA in connection with its participation in seven public offerings. Therefore, Maxim violated FINRA Rules 5110 and 2010. From December 2019 to March 2026, Maxim violated FINRA Rules 3110 and 2010 by failing to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 5110. For these violations, the firm is censured and fined $35,000.

Between December 2021 and December 2024, ATMC failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with rules and laws prohibiting manipulative trading, including prearranged and coordinated trading, momentum ignition trading, layering and spoofing, and marking the close, in violation of FINRA Rules 3110(a) and (b) and 2010. For these violations, Respondent is censured and fined $12,500.