MARK HENRY MAURER is currently employed as a Broker and/or Investment Adviser at ANDREW GARRETT INC. located at 413 Allison Circle, ANDERSON, SC, 29625.
MARK HENRY MAURER has worked at ANDREW GARRETT INC. since October 02, 2002
MARK HENRY MAURER has 1 Disclosure Event(s).
Date: February 10, 1998 Category: Regulatory Initiated By: STATE OF NEW HAMPSHIRE BUREAU OF SECURITIES Allegations: ONE ALLEGATION OF CONDUCTING ONE SECURITIESTRANSACTION IN NEW HAMPSHIRE WHILE NOT REGISTERED IN NEWHAMPSHIRE. Resolution: Dismissed Sanction Details: THE ALLEGATION WAS DISMISSED BY THE STATE OF NEWHAMPSHIRE (NH POINT OF CONTACT: [THIRD PARTY], 603-271-1463). Broker Comment: I WASNAMED IN A CEASE AND DESIST ORDER ISSUED BY THE STATE OF NEWHAMPSHIRE. AFTER INVESTIGATION, THE ALLEGATION WAS FOUND TO BEUNTRUE AND WAS DISMISSED. MY NAME HAS BEEN REMOVED FROM THECEASE AND DESIST ORDER.I WAS NAMED IN A CONSENT ORDER FOR HAVING A CLIENT IN NH WHILE NOT BEING REGISTERED IN NH. FACTS: MY SISTER-IN-LAW, A SOUTH CAROLINA, RESIDENT WANTED TO BUY A FEW SHARES OF STOCK AS A CHRISTMAS PRESENT FOR A RELATIVE THAT LIVED IN NEW HAMPSHIRE. I OPENED AN ACCOUNT IN THE RELATIVES NAME USING THE RELATIVES NEW HAMPSHIRE ADDRESS FOR THE SHARES TO BE DELIVERED. MY SISTER-IN -LAW, A SOUTH CAROLINA RESIDENT PLACED THE BUY ORDER AND PAID FOR THE STOCK. THESE FACTS WERE PRESENTED TO NH AND MY NAME WAS REMOVED FROM THE FINAL CONSENT ORDER AND THERE WERE NO FINES AGAINST ME PERSONALLY.
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