ADRIENNE JAIME MAK (ADRIENNE MAK) CRD#: 5656269, formerly of J.P. MORGAN SECURITIES LLC of HACIENDA HEIGHTS, CA, was recently barred by the Financial Industry Regulatory Authority (FINRA) from association with any FINRA member in any capacity.
According to the FINRA report, without admitting or denying the allegations, ADRIENNE JAIME MAK consented to the sanction and to the entry of findings that she allegedly failed to respond to FINRA's request for information.
FINRA’s findings stated that the requested information was necessary to determine whether ADRIENNE JAIME MAK used an unapproved email account and mobile device to communicate with clients of her member firm or forged a customer's initials on a firm document. Mak consented to FINRA’s settlement offer, without admitting to or denying the regulator’s allegations, according to FINRA.
According to FINRA’s BrokerCheck, Adrienne Mak was discharged from J.P. Morgan Securities, in May of 2018, following allegations that, “Registered Rep admitted to using her personal email and cell phone to communicate with clients, in violation of firm policy. In addition, Registered Rep admitted to adding a customer’s initials next to a change on an investment switch letter. Registered Rep indicated she did not submit the form before the customer initialed the changes.”
In June of 2018, FINRA’s Preliminary Investigations Unit started an investigation of ADRIENNE JAIME MAK’s discharge from J.P. Morgan Securities. According to FINRA, Mak did not respond after their requests for information.
ADRIENNE JAIME MAK was registered in the securities industry for 8 years and was listed with the following two firms:
10/01/2012 - 05/25/2018 J.P. MORGAN SECURITIES LLC - HACIENDA HEIGHTS, CA
06/04/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP - HACIENDA HEIGHTS, CA
If you’ve experienced losses due to the actions or recommendations of the former J.P. MORGAN SECURITIES LLC of HACIENDA HEIGHTS, CA, broker ADRIENNE JAIME MAK, contact Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee basis and represents clients nationwide before FINRA.
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