Adrienne Jaime Mak (Adrienne Mak) – Financial Advisor/Broker Adrienne Mak Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Adrienne Jaime Mak (Adrienne Mak) CRD #5656269
Adrienne Mak was a previously licensed financial advisor/broker with J.P. Morgan Securities, LLC. FINRA reports that Adrienne Mak was suspended from the securities industry indefinitely in November 2018. According to the FINRA allegations, Adrienne Mak failed to respond to FINRA’s request for information.
According to Adrienne Mak’s BrokerCheck Report, Adrienne Mak was discharged from J.P. Morgan Chase Bank in May 2018. Adrienne Mak allegedly admitted to using her personal email and cell phone to communicate with clients, in violation of firm policy. In addition, Adrienne Mak admitted to adding a Customer’s initials next to a change on an investment switch letter. Adrienne Mak indicated she did not submit the form before the Customer initiated the changes.
According to FINRA, Adrienne Mak has a pending regulatory action against her that was first initiated in May 2020. Adrienne Mak was named a respondent in a FINRA complaint alleging that Adrienne Mak failed to respond to FINRA’s request for information in connection with its investigation into the circumstances of her departure from her former member firm. The complaint alleges that the firm filed a Form U5 disclosing that it had discharged Adrienne Mak for using he personal email and cell phone to communicate with clients, in violation of firm policy, and adding a Customer’s initials next to a change on an investment switch letter.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Adrienne Mak and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Adrienne Mak’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Adrienne Mak and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 6/3/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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