Adrian R. London Investigation
June 2023-Atlanta GA
According to publicly available records Adrian R. London a former broker who last worked for J.P. Morgan Securities, discloses a final regulatory matter resulting in a permanent bar from the industry and a termination.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 4/2023, pursuant to FINRA Rule 9552 (h) and in accordance with FINRA’s Notice of Suspension and Suspension from Association letters dated January 5.2023 and January 30.2023, on April 10,2023, London is barred from association with any FIRNA member in all capacities. London failed to request termination of his suspension within three months of the date of the notice of suspension. Therefore he is automatically barred from FINRA.
In 4/2022, London was terminated by JP Morgan Chase Bank. London, in the capacity of an affiliate bank employee, was terminated for accessing customer’s affiliate bank profiles without a valid business reason.
London was employed with J. P. Morgan Securities from 11/2020 to the time he was barred. Before that time he was with Truist Bank, E Trade Securities and Next Star Community.
If you have questions about an account handled by Adrian R. London, contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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