Nina Maines (CRD #: 2496408), a broker registered with Cadaret, Grant & Co., has entered into an Agreement, Waiver, & Consent (AWC) agreement, according to her BrokerCheck record, accessed on December 11, 2020. An AWC allows a broker to consent to the Financial Industry Regulatory Authority’s findings without admitting or denying the findings. The details of the AWC are provided below.
On September 23, 2020, Nina Maines consented to the findings that she exercised discretion in customer accounts without written authorization. Additionally, the firm had not approved any of the customer accounts for discretionary trading. Ms. Maines consented to a fine of $5,000 and a 15-day suspension. You can read a copy of the AWC here.
Nina Maines has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 6 Investment Company Products/ Variable Contracts Representative Examination. He is a registered broker in 19 states and a registered investment adviser in Texas.
During her 26 years of experience in the securities industry, Nina Maines has worked at the following firms:
- Cadaret Grant & Co (CRD #: 10641)
- AXA Advisors (CRD #: 6627)
- The Equitable Life Assurance Society of the Unites States (CRD #: 4039)
If Nina Maines was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.