Adrienne Jaime Mak
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/20/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adrienne Jaime Mak CRD No. 5656269, Respondent. Disciplinary Proceeding No. 2018058657802 COMPLAINT Department of Enforcement alleges: SUMMARY 1. Adrienne Jaime Mak failed to respond to FINRA’s requests for information made pursuant to FINRA Rule 8210 in June and September 2018. As a result, Mak violated FINRA Rules 8210 and 2010.
07/07/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adrienne Jaime Mak, CRD No. 5656269, Respondent. Disciplinary Proceeding No. 2018058657802 Hearing Officer—DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 7, 2020 INTRODUCTION Disciplinary Proceeding No. 2018058657802 was filed on May 20, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Adrienne Jaime Mak submitted
Reference 2018058657802data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5656269 |
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