Defendant Name:
Jason Maiher
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Jason Maiher
First Document Date
23-Feb-2016
Initial Filing Format
Administrative Action
File Number
3-17126
Allegation Type
Broker Dealer
AAER
3746
Affiliations
- Former: CFO at KeyBanc Capital Markets Inc. (April 2007—November 2011)
- Former: Series 27 Financial and Operations Principal at KeyBanc Capital Markets Inc. (April 2007—December 2011)
Violations Alleged
Related Violations Alleged
Jason Maiher is alleged to have aided and abetted KeyBanc Capital Markets Inc. 's violation of Section 17(a), 17(e), Rule 17a-3(a)(2), 17a-5(a), 17a-5(d) Exchange Act (willfully/knowingly).
Jason Maiher is alleged to have caused KeyBanc Capital Markets Inc. 's violation of Section 17(a), 17(e), Rule 17a-3(a)(2), 17a-5(a), 17a-5(d) Exchange Act (willfully/knowingly).
Resolutions
Bars:
- Bar on practicing before the SEC as an Accountant for 2 years
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
First Resolution Date
17-Aug-2016
